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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

MUTUAL SECURITIES, INC.

MUTUAL SECURITIES INC. OF CALIFORNIA, CRD 13092

CAMARILLO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f24cbe5b-28f0-ff5f-983f-3c6b4b0bb996

Data as of Jun 26, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 0
On other graphs: 1
Observed: Apr 10, 2012 to Jun 26, 2012
5 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Mutual Securities, Inc.

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $38.6MItem 5.F on the latest filing (2012-06-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 140
SEC number: 801-68443
CRD: 13092
Filings on the tape: 5
First filed: Apr 10, 2012
Latest filed: Jun 26, 2012
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SABOL, RYAN STEPHEN	EXECUTIVE VICE PRESIDENT	D	yes	01/2005	Apr 10, 2012	Jun 26, 2012
VOSS, MITCHELL CRAIG	PRESIDENT / CHIEF EXEC OFFICER / ROSFP	D	yes	12/2004	Apr 10, 2012	Jun 26, 2012
COHEN, JULIE LAN	REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL / MUNICIPAL PRINCIPAL / CHIEF COMPLIANCE OFFICER / RIA CHIEF COMPLIANCE OFFICE	Na	no	04/2008	Apr 10, 2012	Jun 26, 2012
OLIVER, JOHN RICHARD	FINANCIAL OPERATIONS PRINCIPAL	Na	no	10/2008	Apr 10, 2012	Jun 26, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MUTUAL SECURITIES INC. OF CALIFORNIA	n/a	Former SEC adviser	$38.6M	Y	yes	n/a
MUTUAL SECURITIES INC. OF CALIFORNIA	n/a	n/a	n/a	Y	yes	n/a

Relationships

Affiliated with (3)

← MUTUAL ADVISORS, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← NOVA FINANCIAL SERVICESRegistered adviserbroker-dealer
factForm ADV
→ MUTUAL SECURITIES, INC.Registered adviserbroker-dealer, control, common control
factForm ADV

Controls (2)

← VOSS, MITCHELL CRAIGOwnerPRESIDENT / CHIEF EXEC OFFICER / ROSFP, ownership code D, individual
Apr 10, 2012 to presentfactForm ADV
← SABOL, RYAN STEPHENOwnerEXECUTIVE VICE PRESIDENT, ownership code D, individual
Apr 10, 2012 to presentfactForm ADV

Owns (2)

← OLIVER, JOHN RICHARDOwnerFINANCIAL OPERATIONS PRINCIPAL, ownership code NA, individual
Apr 10, 2012 to presentfactForm ADV
← COHEN, JULIE LANOwnerREGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL / MUNICIPAL PRINCIPAL / CHIEF COMPLIANCE OFFICER / RIA CHIEF COMPLIANCE OFFICE, ownership code NA, individual
Apr 10, 2012 to presentfactForm ADV

Registered with (21)

← MARY AGNES BARONEAdvisorregistration: previous registration
Feb 12, 2013 to Jul 19, 2013factForm ADV
← JACOB RAY KAGELEAdvisorregistration: previous registration
May 26, 2009 to Jul 19, 2013factForm ADV
← WARREN WAYNE LOCKEAdvisorregistration: previous registration
Apr 30, 2008 to Jul 9, 2013factForm ADV
← JAMES CRAIG COLEMANAdvisorregistration: previous registration
Jan 23, 2009 to Jul 9, 2013factForm ADV
← STEVEN SAMUEL WITTENBERGAdvisorregistration: previous registration
Jan 3, 2013 to Jul 9, 2013factForm ADV
← Jeffry Jess JohnsonAdvisorregistration: previous registration
Nov 12, 2009 to Jul 9, 2013factForm ADV
← Patricia Elizabeth PhippsAdvisorregistration: previous registration
Sep 9, 2009 to Jul 9, 2013factForm ADV
← RICHARD WAYNE PLAMONDONAdvisorregistration: previous registration
Dec 17, 2009 to Jul 9, 2013factForm ADV
← RICHARD BENJAMIN LEVINAdvisorregistration: previous registration
Apr 5, 2012 to Jul 9, 2013factForm ADV
← GARY LYLE PEVEYAdvisorregistration: previous registration
Apr 25, 2011 to Jul 9, 2013factForm ADV
← ROBERT REED LINDERMANAdvisorregistration: previous registration
Dec 14, 2007 to Jul 9, 2013factForm ADV
← BRUCE STEVEN TERRYAdvisorregistration: previous registration
Nov 18, 2008 to Jul 9, 2013factForm ADV
← JEFFREY DAVID HETTINGERAdvisorregistration: previous registration
Nov 23, 2012 to Jul 9, 2013factForm ADV
← ZAHID SADIQAdvisorregistration: previous registration
May 21, 2012 to Jul 9, 2013factForm ADV
← DYLAN DANIEL BROOKSAdvisorregistration: previous registration
Nov 16, 2012 to Jul 9, 2013factForm ADV
← GLENN ALLAN ANDRADEAdvisorregistration: previous registration
Dec 15, 2011 to Jul 8, 2013factForm ADV
← SAMMY KUO CHIANG SUNGAdvisorregistration: previous registration
Jan 15, 2013 to Jul 2, 2013factForm ADV
← RICHARD SPENCER PETERSONAdvisorregistration: previous registration
Apr 5, 2010 to Jul 2, 2013factForm ADV
← AILEEN KAY BRAGAAdvisorregistration: previous registration
Mar 23, 2010 to Jun 17, 2010factForm ADV
← MARTIN LEE MAZORRAAdvisorregistration: previous registration
Jan 7, 2010 to Jan 12, 2010factForm ADV
← T. MATT NICHOLSAdvisorregistration: previous registration
Jan 7, 2010 to Jan 12, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f24cbe5b-28f0-ff5f-983f-3c6b4b0bb996
First observed: Apr 10, 2012
Last observed: Jun 26, 2012 173 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MUTUAL SECURITIES, INC.

MUTUAL SECURITIES INC. OF CALIFORNIA, CRD 13092

CAMARILLO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f24cbe5b-28f0-ff5f-983f-3c6b4b0bb996

Data as of Jun 26, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:20 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SABOL, RYAN STEPHEN

EXECUTIVE VICE PRESIDENT

yes

01/2005

Apr 10, 2012

Jun 26, 2012

VOSS, MITCHELL CRAIG

PRESIDENT / CHIEF EXEC OFFICER / ROSFP

yes

12/2004

Apr 10, 2012

Jun 26, 2012

COHEN, JULIE LAN

REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL / MUNICIPAL PRINCIPAL / CHIEF COMPLIANCE OFFICER / RIA CHIEF COMPLIANCE OFFICE

04/2008

Apr 10, 2012

Jun 26, 2012

OLIVER, JOHN RICHARD

FINANCIAL OPERATIONS PRINCIPAL

10/2008

Apr 10, 2012

Jun 26, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MUTUAL SECURITIES INC. OF CALIFORNIA

n/a

Former SEC adviser

$38.6M

yes

n/a

MUTUAL SECURITIES INC. OF CALIFORNIA

n/a

yes

n/a