Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mitchell? Claim Your ProfileMitchell Ross Pindus has been in the financial services industry since June 19, 1984. Mitchell is currently a registered representative with Wells Fargo Clearing Services, LLC, and has been with the firm since June 2010. Mitchell has a wide range of experience in the financial services industry, including previous roles with RBC Capital Markets Corporation, Oppenheimer & Co. Inc., CIBC World Markets Corp., Bear, Stearns & Co. Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Mitchell is a registered representative in several states, including California, Texas, Arizona, Colorado, Florida, Georgia, Montana, Nevada, New Jersey, New York, and North Carolina. Mitchell has a strong commitment to providing clients with personalized financial advice and services.
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
CA
08/19/2022 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
CA
09/05/2003 - 06/14/2010
RBC CAPITAL MARKETS CORPORATION (BEVERLY HILLS CA)
NY
01/03/2003 - 09/09/2003
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
02/20/1990 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
08/12/1986 - 02/23/1990
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
06/20/1984 - 08/19/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 11/22/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/1988
Series 3 - National Commodity Futures Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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