Clifford W. Mitchem
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.
Clifford Wigfall Mitchem, who also goes by Clifford Wigfall Mitchem, Mitch Mitchem, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1977. Clifford had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2003 - October 29, 2012
NICOL INVESTORS CORPORATION
January 23, 2002 - April 11, 2003
AURA FINANCIAL SERVICES, INC.
June 12, 1998 - December 31, 2001
RICHARD B. VANCE & COMPANY
March 16, 1995 - December 24, 1997
LINCOLN INVESTMENT
January 4, 1990 - November 3, 1994
METROPOLITAN LIFE INSURANCE COMPANY
January 4, 1990 - November 3, 1994
MSI FINANCIAL SERVICES, INC.
July 25, 1977 - October 30, 1989
MUTUAL OF OMAHA INVESTOR SERVICES, 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 1
Date: 7/16/1977
Registered Representative ExaminationCurrent Firm
NICOL INVESTORS CORPORATION
CRD#: 123111 / SEC#: , 8-65566
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOL ENTERPRISES | OWNER | |
| NICOL, KEVIN GEORGE | PRESIDENT/ACTING SECRETARY/CHIEF COMPLIANCE OFFICER | 1109527 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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