Mitchell J. Halpern
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 Joel Halpern was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1977. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2014 - July 13, 2015
WINDSOR STREET CAPITAL, LP
September 22, 2009 - November 8, 2013
WINDSOR STREET CAPITAL, LP
May 19, 2009 - September 25, 2009
PRESTIGE FINANCIAL CENTER, INC.
December 18, 2006 - March 6, 2009
BISHOP, ROSEN & CO., INC.
June 6, 2000 - January 5, 2007
GILFORD SECURITIES INCORPORATED
August 7, 1996 - November 18, 1997
OSCAR GRUSS & SON INCORPORATED
July 11, 1995 - July 22, 1996
LT LAWRENCE & CO., INC.
September 20, 1994 - July 25, 1995
A. R. BARON & CO., INC.
August 31, 1990 - September 22, 1994
J.P. MORGAN SECURITIES LLC
May 24, 1990 - August 16, 1990
LADENBURG THALMANN & CO. INC.
December 5, 1977 - April 23, 1990
L. F. ROTHSCHILD & CO. INCORPORATED
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 55
Date: 11/13/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 12/15/1988
Foreign Currency Options ExaminationSeries 5
Date: 11/17/1988
Interest Rate Options ExaminationSeries 12
Date: 3/26/1981
NYSE Branch Manager ExaminationCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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