MM
Mitchell S. Mastel
RAYMOND JAMES (USA) LTD.
Calgary, Ab, T2P 1G1
Some features on this profile are disabled
CRD#: 7305754
MM
Professional summary
Mitchell Semrau Mastel, who also goes by Mitch Mastel, is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
Mitchell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Mitchell has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mitch Mastel
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.
(1) RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH CIRO, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. MITCH MASTEL IS LOCATED AT SUITE 4100, 525-8TH AVENUE SW, CALGARY, ALBERTA, CANADA,T2P 1G1 AND HAS BEEN EMPLOYED SINCE JANUARY 2, 2020. HE IS A FULL TIME EMPLOYEE AND HIS TITLE WITH RJL IS "ASSOCIATE FINANCIAL ADVISOR". HE DEVOTES 150 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HIS JOB DUTIES INCLUDE SALES. (2) PANO PROPERTIES LTD. IS A PASSIVE REAL ESTATE OWNERSHIP. MR. MASTEL IS DIRECTOR AND TREASURER AND HAS PARTIAL OWNERSHIP IN THIS SMALL BUSINESS THAT BUYS SINGLE FAMILY HOMES AND RENOVATE RENT OR SELL. ONE PROPERTY SO FAR. MAINTAINS BOOKS AND FORWARDS THEM TO THE ACCOUNTING FIRM. START DATE OF OTHER BUSINESS IS JANUARY 2 2020. (3) MASCAP INC. IS LOCATED AT 179 RIVER VIEW CIRC SE CALGARY ALBERTA , HOLDING COMPANY HOLDS PASSIVE INVESTMENTS PRIMARILY IN COMMERCIAL REAL STATE - DIRECTOR OWNING 25% OF SHARES FUNDING FROM INHERITANCE . LESS THAN ONE HOUR DEDICATED TO THIS OTHER BUSINESS PER MONTH. (4) MITCH MASTEL HOLDINGS INC. - PASSIVE PERSONAL HOLDCO. MR. MASTEL OWNS 100%.
CRS (Client Relationship Summary) - RIA
Click below to view Mitchell Semrau Mastel's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 3, 2020 - Present
RAYMOND JAMES (USA) LTD.
Office #1: Eighth Avenue Place 525 - 8th Avenue Sw, Calgary, Ab, T2P 1G1RIA
BD
CRD#: 25853
Calgary, Ab,
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(11/3/2020)
Exams
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
RAYMOND JAMES (USA) LTD.
CRD#: 25853Calgary, Ab, T2P 1G1TRUST BUT VERIFY
Monitor Mitchell Mastel
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
