Mitchell Steven Avnet

Current Employers

Employment History

• 01/2013 → Present
  Compliance Risk Concepts
  Wayne, PA
• 11/2016 → 10/2017
  Four Points Capital Partners
  New York, NY
• 03/2017 → 06/2018
  Frontcourt Securities, Llc
  Basking Ridge, NJ
• 08/2017 → 03/2018
  Third Party Trade Llc
  Porland, OR
• 10/2017 → 04/2019
  Nms Capital Advisors, Llc
  Beverly Hills, CA
• 10/2017 → 12/2017
  Nexttier Investment Solutions, Llc
  Chicago, IL
• 04/2018 → 09/2020
  Lucia Capital Management
  San Diego, CA
• 06/2018 → 10/2019
  Ifp Securities, Llc
  Tampa, FL
• 03/2020 → 07/2020
  Angellist Securities, Llc
  Brooklyn, NY
• 05/2020 → 12/2020
  First Avenue
  New York, NY
• 07/2020 → 12/2022
  Code Advisors Llc
  San Fransisco, CA
• 07/2020 → 12/2021
  Huobi Securities Inc.
  New York, NY
• 07/2020 → 12/2020
  Benchmark
  New York, NY
• 07/2020 → 09/2020
  Cherry Trading
  West Hollywood, CA
• 12/2021 → 07/2023
  Ec Securities Llc
  San Francisco, CA
• 07/2023 → Present
  Ec Securitites Llc
  New York, NY
• 07/2023 → 01/2024
  Stockpile Investment, Inc.
  San Francisco, CA
• 03/2023 → 03/2025
  Arta Finance Securities Llc
  Mountain View, CA

Previous Registrations

• 2018-04-25 → 2020-09-30
  Pinhook Capital, Llc
  New York, NY
  San Diego, CA
• 2013-11-21 → 2015-04-29
  Lucia Capital Group
  San Diego, CA
• 2011-07-27 → 2012-12-31
  Osaic Fs, Inc.
  Concord, NH
• 2008-02-14 → 2011-03-14
  Pnc Wealth Management Llc
  Pittsburgh, PA
• 2007-04-11 → 2008-04-03
  J.J.B. Hilliard, W.L. Lyons, Llc
  Louisville, KY
• 2001-12-27 → 2003-07-09
  Wells Fargo Clearing Services, Llc
  New York, NY

Other Businesses

1. COMPLIANCE RISK CONCEPTS, NON-INVESTMENT RELATED, ONE DEVON SQUARE 724 W. LANCASTER AVENUE, SUITE 218 WAYNE, PA 19087, CONSULTING, MANAGING PARTNER, 1/2/2013, 100 HOURS/MONTH, 70 HOURS PER MONTH DURING SECURITIES TRADING HOURS, COMPLIANCE CONSULTING 2. STOCKPILE, INC, NON-INVESTMENT RELATED; 679 TOLAND PLACE SAN FRANCISCO, CA 94124; TECHNOLOGY COMPANY; BOARD MEMBER; START DATE MAY 2020; 2-3 HOURS PER QUARTER FOR BROAD MEETINGS; BOARD ADVISORY DUTIES 3. EC Securities; Investment Related; 90 Gold Street, Second Floor San Francisco, CA 94133; Broker-Dealer; Chief Compliance Officer; December 2021; 5 Hours per month; 5 Hours per month; Chief Compliance Officer

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-03-29
• S63 Uniform Securities Agent State Law Examination
  1994-12-07

Other Names

• Mitch Avnet