working group member - detail
Robert J. Mitchell
FINOP and Chief Compliance Officer
Broad Oak Partners, LLC
Robert Mitchell founded and operates an accounting practice specializing in accounting and Financial and Operations Principal ("FINOP") U.S. Financial Industry Regulatory Authority ("FINRA") Series 27 regulatory compliance consulting services for FINRA registered broker-dealer member firms. He is a CPA and the FINOP and Chief Compliance Officer for Broad Oak Partners, LLC ("BOP"), a U.S. FINRA member that holds the U.S. securities registrations for financial professionals at BOP, Broad Oak Advisors, LLC, and a number of Broad Oak working group members.
Prior to starting his own practice, Mr. Mitchell worked at small- and medium-sized accounting firms in the Wall Street area specializing in the U.S. securities industry. Prior to that he was a police officer, retiring after a distinguished career as a Captain in the Nassau County, New York police department. During his law enforcement career, Captain Mitchell was one of the first members of his police academy class to be promoted to Sergeant and the first to be promoted to Lieutenant as well as Captain. In his executive role as a precinct captain, Bob was recognized for his extensive community relations work, often under hostile and unfavorable situations.
Mr. Mitchell received a Bachelor of Science degree from Adelphi University. He holds Series 7, 24, 27and 63 FINRA registrations. Bob also holds an honorable discharge from the U.S. Navy for his military service during the Vietnam War era.
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