Thomas S. Mitchell
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.
Thomas Spikes Mitchell, who also goes by Thomas Spike Mitchell, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1975. Thomas had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 3, Series 41, Series 7, Series 4 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
July 5, 2006 - October 23, 2014
MILLER TABAK + CO., LLC
February 3, 1992 - March 8, 2016
MITCHELL SECURITIES, INC.
April 22, 1985 - September 4, 1990
BOSTON PARTNERS SECURITIES, L.L.C.
June 25, 1975 - April 15, 1983
MABON, NUGENT & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 41
Date: 7/20/1985
NYSE Allied Member ExaminationCurrent Firm
MILLER TABAK + CO., LLC
CRD#: 47293 / SEC#: , 8-51750
Contact information
Disclosures
| Regulatory Event | 13 |
Red Flags
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