Mitchell J. Bayer
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.
Mitchell Jay Bayer was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1981. Mitchell had worked at 9 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 3, Series 16, Series 10, Series 9, Series 4, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2010 - May 24, 2022
J.H. DARBIE & CO., INC.
January 26, 2009 - March 30, 2010
GUNNALLEN FINANCIAL, INC
October 22, 2001 - January 26, 2009
HCFP BRENNER SECURITIES, LLC
July 6, 1999 - March 16, 2001
SAGE CAPITAL LLC
March 9, 1998 - November 1, 2001
GRUNTAL & CO., L.L.C.
June 23, 1987 - October 5, 1987
GSA EQUITY, INC.
June 4, 1987 - March 15, 1998
HAMPSHIRE SECURITIES CORPORATION
December 6, 1984 - May 20, 1987
BALFOUR INVESTORS INC.
May 19, 1981 - September 20, 1983
PHILIPS, APPEL & WALDEN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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