MITCHELL H SMITH is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 1918 8TH AVENUE, SUITE 3600, SEATTLE, WA, 98101-1244.

MITCHELL H SMITH has worked at RBC CAPITAL MARKETS, LLC since January 04, 2016

Disclosure History

MITCHELL H SMITH has 2 Disclosure Event(s).

Date: October 11, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $5,037.96
Judgment/Lien Type: Civil

Date: May 27, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $795.00
Judgment/Lien Type: Civil
Broker Comment: The Judgment was first brought to my attention 9/23/15 by the Registration & Licensing department at Merrill Lynch informing me of an outsanding judgment. At the time of the judgment i was unemployed, but do not recall other circumstances surrounding the situation. Multiple attempts have been made to contact the Judgment Holder with no response.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for MITCHELL H SMITH, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.