John H. Mittler

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CRD#: 730059

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Howard Mittler, who also goes by John Howard Mittler Jr, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1981. John had worked at 11 firms and has passed the Series 63, Series 5, Series 24, Series 4 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Howard Mittler Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 7, 2013 - September 11, 2014

GILL AND ROESER HOLDINGS, INC.

CRD#: 131119

NEW YORK, NY

Past

February 19, 2013 - May 8, 2013

BEDMINSTER FINANCIAL GROUP, LIMITED

CRD#: 39916

HOLICONG, PA

Past

October 20, 2009 - February 8, 2010

BIREMIS, CORP.

CRD#: 127840

KELOWNA, BC,

Past

December 3, 2004 - April 27, 2010

GILL AND ROESER HOLDINGS, INC.

CRD#: 131119

NEW YORK, NY

Past

September 17, 1996 - July 19, 2004

BEDMINSTER FINANCIAL GROUP, LIMITED

CRD#: 39916

HOLICONG, PA

Past

November 16, 1995 - October 2, 1996

BERNARD HEROLD & CO., INC.

CRD#: 6193

NEW YORK, NY

Past

August 24, 1993 - January 26, 1996

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

May 18, 1992 - July 30, 1993

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

December 15, 1989 - June 4, 1992

CHEMICAL INVESTOR SERVICES, INC.

CRD#: 17350

Past

October 26, 1988 - October 24, 1990

CHEMICAL INTERNATIONAL SECURITIES CORP.

CRD#: 17896

Past

November 12, 1987 - May 8, 1992

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

February 12, 1986 - October 26, 1987

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

November 16, 1983 - October 4, 1985

BERNARD HEROLD & CO., INC.

CRD#: 6193

Past

May 7, 1981 - August 20, 1986

FIDATA BROKERAGE INCORPORATED

CRD#: 8078

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/28/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/16/1981

Interest Rate Options Examination

Principal/Supervisory Exam

Series 24

Date: 10/6/1981

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/21/1981

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 7/22/1981

Financial and Operations Principal Examination

Current Firm

GILL AND ROESER HOLDINGS, INC.

CRD#: 131119 / SEC#: , 8-66425

Terminated by SEC on 09/12/2014

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 03/08/1990

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
RAMS HEAD PARTNERS, INC.	OWNER
BOLLAND, STEVEN KENNETH	CEO & OWNER OF RAMS HEAD PARTNERS, INC.	4926980
MITTLER, JOHN HOWARD	FINOP	730059
MYER, DALE A.	CCO, VICE PRESIDENT & TREASURER AND OWNER OF RAMS HEAD PARTNERS, INC.	4876332

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

John H. Mittler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BEDMINSTER FINANCIAL GROUP, LIMITED

BIREMIS, CORP.

GILL AND ROESER HOLDINGS, INC.

BEDMINSTER FINANCIAL GROUP, LIMITED

BERNARD HEROLD & CO., INC.

DB ALEX. BROWN LLC

PERSHING LLC

CHEMICAL INVESTOR SERVICES, INC.

CHEMICAL INTERNATIONAL SECURITIES CORP.

J.P. MORGAN SECURITIES INC.

KIDDER, PEABODY & CO. INCORPORATED

BERNARD HEROLD & CO., INC.

FIDATA BROKERAGE INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/28/1982

Series 5

Date: 10/16/1981

Series 24

Date: 10/6/1981

Series 4

Date: 8/21/1981

Series 27

Date: 7/22/1981

Current Firm

GILL AND ROESER HOLDINGS, INC.

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

GILL AND ROESER HOLDINGS, INC.

TRUST BUT VERIFY

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