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BRADLEY CURTIS MITCHELL
CRD#: 1729214
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1610 ARDEN WAY
SUITE 200
SACRAMENTO, CA 95815
Registration History
19901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1989 - Present (35 years)BBERMAN AND STICKEL INCORPORATED (CRD# 21297)1989 - 1990 (1 year)BJOHN HANCOCK DISTRIBUTORS, INC. (CRD# 468)1987 - 1989 (1 year)
Disclosure(s)
View By:
7/26/2000
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/6/1992

B
New Mexico 8/8/2008

B
Arkansas 7/18/2024

B
New York 12/20/2023

B
California 7/31/1989

B
North Carolina 11/30/2011

IA
California 7/8/1997

B
Ohio 8/3/2018

B
Colorado 1/9/2018

B
Oklahoma 6/10/2022

B
District of Columbia 8/16/2023

B
Oregon 1/16/1992

B
Florida 6/24/2016

B
South Carolina 1/9/2018

B
Hawaii 8/16/2023

B
South Dakota 8/16/2023

B
Idaho 10/8/2002

B
Texas 5/23/2000

B
Iowa 2/8/2024

IA
Texas 5/6/2008

B
Missouri 8/16/2023

B
Utah 9/13/2023

B
Nevada 4/6/1994

B
Washington 7/4/2019

B
New Hampshire 8/3/2022

B
Wisconsin 9/30/2019

B
New Jersey 2/2/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1610 ARDEN WAY SUITE 200, SACRAMENTO, CA 95815
1610 ARDEN WAY, SACRAMENTO, CA 95815
Registered with this firm since 7/8/1997

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1610 ARDEN WAY SUITE 200, SACRAMENTO, CA 95815
1610 ARDEN WAY, SACRAMENTO, CA 95815
Registered with this firm since 7/31/1989

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/21/1989 - 12/14/1990 BERMAN AND STICKEL INCORPORATED (CRD#:21297) SAN FRANCISCO, CA
B
09/18/1987 - 07/12/1989 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.