Mitchell Jay Adler
Investment Adviser Representative at SPC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Mitchell Jay Adler is an investment adviser representative with SPC in Newtown, PA, where they have been registered since 2005. They have worked in the securities industry since 1984 and have been registered with 7 firms, including First Security Investments, Inc. and UBS Painewebber Inc. They have passed 3 industry qualification exams, including the Series 7 (general securities representative) and Series 63 (state securities agent). They are registered to provide investment advice in Pennsylvania.
Registrations & licenses
- Investment adviser:
- Pennsylvania
- Broker:
9 states and territories
Arizona, Florida, Nevada, New Jersey, New Mexico, New York, Pennsylvania, Texas, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Sigma Financial CorporationMar 2005 – no end date reportedAnn Arbor, MI
- SPCMar 2005 – no end date reportedAnn Arbor, MI
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About SPC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
- Firm account minimum
- $5,500 (waivable)
- First $500,0002.50%
- $500,001 - $750,0001.75%
- $750,001 - $1,000,0001.50%
- Greater than $1,000,0001.25%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 473
- Offices listed on AdvisorFinder:
- 24
- Main office:
- Ann Arbor, MI
- SEC file number:
- 801-20404
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 7, 2026
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Showing 12 of 473 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Mitchell Jay Adler has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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