Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mitchell? Claim Your ProfileMitchell Steven Behm has been in the financial services industry since 1986. Mitchell is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 1988. Previously, Mitchell was registered with FIRST EMPIRE SECURITIES, INC. from 1986 to 1988. Mitchell is licensed to provide securities services in 38 states and investment advisory services in 2 states. Mitchell holds Series 63, Series 65, Series 7, and SIE licenses. Mitchell has a broad range of experience in financial services, having worked with a variety of clients including corporations, individuals, and pension plans.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
03/20/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (IRVINE CA)
NA
06/27/1986 - 05/13/1988
FIRST EMPIRE SECURITIES, INC.
IA
Issued 07/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/16/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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