Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mitchell? Claim Your ProfileMitchell Ryan Peters is an active investment advisor representative registered in California and Texas. Mitchell is also registered in 32 states as a broker-dealer and has over 20 years of experience in the financial services industry. Mitchell currently works with RBC Capital Markets, LLC. Mitchell has worked with a number of other firms throughout their career, including First Republic Securities Company, LLC, UBS Financial Services Inc., Chase Securities Inc., Hambrecht & Quist LLC, and Cowen & Co. Mitchell holds a Series 3, Series 7, and Series 66 license. They also hold a Series 63 and Series 65 license. Mitchell specializes in providing financial advice to individuals, businesses, and institutions. They have a strong track record of success in helping clients achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
04/28/2023 - Present
RBC Capital Markets, LLC (SAN FRANCISCO CA)
CA
09/08/2017 - 05/19/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)
NY
11/04/2005 - 09/15/2017
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
02/01/2000 - 11/13/2000
CHASE SECURITIES INC. (NEW YORK NY)
CA
10/07/1998 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
10/03/1996 - 07/01/1998
COWEN & CO. (NEW YORK NY)
BOTH
Issued 11/22/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2009
Series 3 - National Commodity Futures Examination
BC
Issued 11/03/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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