Mitchell L. Asch
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 Lawrence Asch, who also goes by Mitch Asch, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1978. Mitchell had worked at 18 firms and has passed the Series 63, Series 3, Series 7, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2011 - July 5, 2013
ROSS, SINCLAIRE & ASSOCIATES, LLC
May 24, 2011 - December 5, 2011
STERNE, AGEE & LEACH, INC.
July 22, 2010 - May 9, 2011
WEDBUSH SECURITIES INC.
January 7, 2010 - June 4, 2010
FINACORP SECURITIES
September 28, 2009 - November 23, 2009
ENDEAVOR CAPITAL
April 21, 2008 - June 26, 2009
RAYMOND JAMES & ASSOCIATES, INC.
July 31, 2007 - March 31, 2008
FAGENSON & CO., INC.
June 27, 2006 - March 2, 2007
UBS SECURITIES LLC
January 31, 2005 - October 3, 2005
PENSON FINANCIAL SERVICES, INC.
August 22, 1996 - January 4, 2005
GLEACHER & COMPANY SECURITIES, INC.
February 8, 1995 - July 19, 1996
GMS GROUP
May 14, 1994 - December 19, 1994
RODMAN & RENSHAW INC.
March 9, 1992 - December 22, 1992
DOUGLAS JAMES SECURITIES, INC.
June 21, 1989 - May 9, 1994
ASCH-DWYER MUNICIPAL SECURITIES, L.P.
January 19, 1988 - April 27, 1989
LEHMAN BROTHERS INC.
March 18, 1985 - March 13, 1987
EMMET & CO, INC.
April 29, 1982 - January 4, 1985
CREDIT SUISSE SECURITIES (USA) LLC
December 17, 1978 - February 14, 1982
VP DISTRIBUTORS LLC
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: 12/11/1978
Registered Representative ExaminationCurrent Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
