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MITCHELL LAWRENCE SANDS
CRD#: 6387248
IA
B
CATALYST PRIVATE WEALTH, LLCCRD#: 305565 1255 TREAT BLVD.,
OFFICE 372
WALNUT CREEK, CA 94597
OFFICE 372
WALNUT CREEK, CA 94597
EMERSON EQUITY LLCCRD#: 130032 1255 Treat Blvd.
Suite 300
Walnut Creek, CA 94597
Suite 300
Walnut Creek, CA 94597
0
Disclosures
10
Years of Experience
View By:
State Registrations
B
Arizona 9/9/2021
B
Nevada 1/8/2020
B
California 9/30/2019
B
New Jersey 2/10/2021
IA
California 10/1/2019
B
New York 6/3/2020
B
Colorado 3/2/2021
B
North Carolina 3/27/2021
B
Florida 10/12/2020
B
Oregon 3/30/2021
B
Illinois 7/23/2021
B
South Dakota 11/29/2021
B
Massachusetts 7/14/2020
B
Texas 6/30/2020
B
Michigan 3/11/2021
B
Utah 12/9/2019
B
Nebraska 8/20/2021
B
Washington 2/23/2021
SRO Registrations
B
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IA
Registered with this firm since 10/1/2019
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Registered with this firm since 9/23/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/18/2019 - 09/12/2022 | San Mateo, CA | |
IA | 01/08/2018 - 09/30/2019 | San Francisco, CA | |
IA | 08/21/2014 - 04/04/2018 | SAN FRANCISCO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.