Unclaimed
Mitchell Schoenbaum is an investment advisor representative associated with Wells Fargo Clearing Services, LLC. Mitchell has been in the industry since 1988 and has prior experience with firms such as Morgan Stanley and RBC Capital Markets Corporation. Mitchell currently holds FINRA Series 7, 9, 10, 63 and 65 licenses. Mitchell is registered to provide investment advice in 15 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
03/19/2020 - Present
Wells Fargo Clearing Services, LLC (BOCA RATON FL)
FL
09/13/2013 - 03/24/2020
MORGAN STANLEY (BOCA RATON FL)
NJ
06/17/2009 - 09/16/2013
WELLS FARGO ADVISORS, LLC (FLORHAM PARK NJ)
NJ
03/09/2002 - 06/25/2009
RBC CAPITAL MARKETS CORPORATION (FLORHAM PARK NJ)
MA
09/08/2000 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
MO
10/01/1999 - 09/15/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
04/18/1997 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NJ
04/19/1988 - 04/25/1997
GOLDEN HARRIS CAPITAL GROUP, INC. (WEST ORANGE NJ)
IA
Issued 06/11/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/13/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/08/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/21/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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