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Mitchell Seth Friedman

Scotia Capital (usa) Inc.

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About Mitchell Seth Friedman

Mitchell Friedman has been in the financial industry since 2006. Mitchell is a registered representative of Scotia Capital (usa) Inc. and holds FINRA Series 7, 79TO, and SIE licenses as well as a New York State license. Mitchell has prior experience at MUFG Securities Americas Inc., J.P. Morgan Securities LLC, RBS Securities Inc., Ally Securities LLC, RBC Capital Markets, LLC, RBC Capital Markets Corporation and Pershing LLC.

Firm Information

Mitchell Friedman is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Mitchell Friedman’s Registration & Firm History

NY

07/13/2021 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

11/01/2018 - 07/12/2021

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

NY

03/17/2015 - 11/01/2018

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

CT

08/30/2012 - 01/09/2015

RBS SECURITIES INC. (STAMFORD CT)

NY

06/27/2011 - 08/01/2012

ALLY SECURITIES LLC (NEW YORK NY)

NY

02/29/2008 - 07/07/2011

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

06/12/2006 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NJ

01/07/2006 - 02/23/2006

PERSHING LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 09/12/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/23/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Mitchell Seth Friedman.
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