Mitchell Joel Halpern
Professional Summary
Mitchell Joel Halpern was a registered financial advisor. Mitchell was a previously registered financial professional and started their career in finance 1977 - 2015. Mitchell had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 3, Series 15, Series 5, Series 51, Series 4, Series 24, Series 10, Series 9, Series 14, Series 27 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
JANSSEN-MEYERS ASSOCIATES, L.P. | WINDSOR STREET CAPITAL, LP | ROAN/MEYERS ASSOCIATES, L.P. | ROAN-MEYERS ASSOCIATES, LP | MEYERS ASSOCIATES, L.P.
Contact Information
Established
New York since 04/01/1993Firm Type
PartnershipFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MEYERS SECURITIES CORP. | GENERAL PARTNER | — |
Disclosures
Regulatory Event
37Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Nov 2000Series 15 — Foreign Currency Options Examination
Passed Dec 1988Series 5 — Interest Rate Options Examination
Passed Nov 1988Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2000About the Series 9 examSeries 12 — NYSE Branch Manager Examination
Passed Mar 1981Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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