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Detailed Report
MITCHELL SCOTT KAHN
CRD#: 2358007
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 120 WHITE PLAINS RD
STE 403
TARRYTOWN, NY 10591
CETERA ADVISORS LLCCRD#: 10299 120 WHITE PLAINS ROAD SUITE 403
TARRYTOWN, NY 10591
Registration History
19952000200520102015202020252 FIRMS2008 - 2008 (<1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2011 - 2019 (8 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2019 - 2022 (2 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2001 - 2008 (6 years)BMORGAN STANLEY DW INC. (CRD# 7556)1999 - 2001 (2 years)BJOSEPHTHAL & CO., INC. (CRD# 3227)1994 - 1998 (4 years)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1993 - 1994 (<1 year)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2019 - 2020 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2003 - 2008 (4 years)
Disclosure(s)
View By:
3/4/1999
Customer Dispute
Settled
License(s)

State Registrations

B
Connecticut 9/8/2022
IA
New York 3/31/2021
B
Delaware 9/8/2022
B
New York 9/8/2022
B
Florida 9/8/2022
B
North Carolina 9/8/2022
B
Georgia 9/8/2022
B
Pennsylvania 9/8/2022
B
Massachusetts 9/8/2022
B
South Carolina 9/8/2022
B
New Jersey 9/8/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

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
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
120 WHITE PLAINS RD STE 403, TARRYTOWN, NY 10591
Registered with this firm since 11/12/2020
B
CETERA ADVISORS LLC (CRD#:10299)
120 WHITE PLAINS ROAD SUITE 403, TARRYTOWN, NY 10591
Registered with this firm since 9/8/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/03/2019 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) TARRYTOWN, NY
IA
 12/13/2019 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) Tarrytown, NY
IA
 06/07/2011 - 12/18/2019 LPL FINANCIAL LLC (CRD#:6413) NEW CITY, NY
B
 06/01/2011 - 12/18/2019 LPL FINANCIAL LLC (CRD#:6413) NEW CITY, NY
IA
 04/09/2008 - 06/24/2009 OPPENHEIMER & CO. INC. (CRD#:249) SADDLE BROOK, NJ
B
 03/26/2008 - 06/24/2009 OPPENHEIMER & CO. INC. (CRD#:249) SADDLE BROOK, NJ
IA
 01/01/2008 - 04/01/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ORADELL, NJ
B
 01/01/2008 - 04/01/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ORADELL, NJ
B
 11/28/2001 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ORADELL, NJ
IA
 10/15/2003 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ORADELL, NJ
B
 01/04/1999 - 11/27/2001 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 04/28/1994 - 12/22/1998 JOSEPHTHAL & CO., INC. (CRD#:3227) NEW YORK, NY
B
 06/21/1993 - 05/02/1994 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.