William Mitchell, financial advisor Cincinnati OH
63 score

William Mitchell

CRD Number: 1241905
Current Firm: Transamerica Financial Advisors, Inc.

William Mitchell (CRD# 1241905) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Cincinnati, OH and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Transamerica Financial Advisors, Inc. Cincinnati, OH Jan 2012 - Current 5
Wfg Cincinnati, OH Jun 2001 - Current 16
William F. Mitchell Corp Cincinnati, OH Jan 2000 - Jul 2015 15
Transamerica Financial Advisors, Inc. Cincinnati, OH Jan 2012 - Jan 2012 < 1
Iai Cincinnati, OH Apr 2008 - Jan 2012 3
World Group Securities Cincinnati, OH Apr 2002 - Jan 2012 9
Selection Properties, LLC Cincinnati, OH Jan 2004 - May 2011 7
Mt Aviation Cincinnati, OH Aug 2003 - Oct 2010 7
Mgc Ventures Cincinnati, OH Sep 2005 - Mar 2008 2
Land Baron Properties Cincinnati, OH Jan 2002 - Mar 2008 6
Lion Properties Cincinnati, OH Jan 2002 - Mar 2008 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1984
S65 NASAA Investment Advisors Law Examination Jun 1996
S66 NASAA Uniform Combined State Law Examination Aug 2006
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for William F. Mitchell
Phone Number: 727-299-1800
Registered State(s):
  • OH
  • TX
By the Numbers
  • Total Assets Under Management
    4,493
    MILLIONS
  • Total Number of Accounts
    33,842
    ACCOUNTS
  • Average Account Value
    $132,767
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
63

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Advisor profile scores displayed on this site are derived using the following criteria. Step 1: An advisor profile rating starts with a baseline score of 90 points. Step 2: The advisor score is increased from the baseline after screening for 3 criteria: years of experience, industry credentials and completeness of profile. Step 3: The advisor score is decreased after screening for publicly available disclosure events such as litigation or regulatory matters. Such decreases relate to the existence of a disclosure and, in most cases, do not account for timing, magnitude or severity of such disclosure. Many other factors are not considered in the scoring such as financial stability, fees, affiliations and educational background, and you should carefully consider these factors. The criteria are based on information Wealthminder deems helpful and available at the time of the scoring. Scores do not vary based on qualitative feedback from users. Advisor presentation and visibility and allocation of proposals will vary for advisors who pay a marketing plan program fee. Wealthminder does not recommend or provide any warranty or guarantee of the quality or suitability of any specific advisor or products or services offered by such advisor. Please consult regulatory sites for additional information about advisors’ background.