Ann Doty-Mitchell, financial advisor El Segundo CA
73 score

Ann Doty-Mitchell

CRD Number: 1083322
Current Firm: Cetera Advisor Networks LLC

Ann Doty-Mitchell (CRD# 1083322) is an Investment Advisor Representative working at Cetera Advisor Networks LLC in El Segundo, CA and has over 23 years of experience in the finance industry.

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Company Name Location Dates Years
Summit Brokerage Services, Inc. Boca Raton, FL Feb 2016 - Current < 1
First Allied Securities, Inc. San Diego, CA Feb 2016 - Current < 1
Vsr Financial Services, Inc. Overland Park, KS Feb 2016 - Current < 1
Girard Securities, Inc. San Diego, CA Feb 2016 - Current < 1
Legend Equities Corporation Palm Beach Gardens, FL Feb 2016 - Current < 1
Investors Capital Corp. Lynnfield, MA Dec 2015 - Current 1
Cetera Advisor Networks LLC El Segundo, CA May 2013 - Current 3
Cetera Financial Specialists LLC Schaumburg, IL May 2013 - Current 3
Cetera Advisors LLC Denver, CO May 2013 - Current 3
Cetera Investment Services LLC Saint Cloud, MN May 2013 - Current 3
Unemployed Los Angeles, CA Jul 2012 - May 2013 < 1
Crowell, Weedon & Company Newport Beach, CA Jul 2011 - Jul 2012 1
Unemployed Northridge, CA Jan 2011 - Jul 2011 < 1
Rbc Capital Markets Corporation Beverly Hills, CA Jan 2010 - Jan 2011 1
Wachovia Securities, LLC Beverly Hills, CA Jan 2008 - Jan 2010 2
Wachovia Securities, LLC Beverly Hills, CA Jan 2008 - Jan 2010 2
A.g. Edwards & Sons, Inc. Sherman Oaks, CA Oct 2002 - Jan 2008 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1993
S65 NASAA Investment Advisors Law Examination Jun 1999
S66 NASAA Uniform Combined State Law Examination Aug 2007
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:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Ann M. Doty-Mitchell
Phone Number: 310-326-3100
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    16,791
    MILLIONS
  • Total Number of Accounts
    70,113
    ACCOUNTS
  • Average Account Value
    $239,482
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
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

Ready to hire a financial advisor? Get competitive proposals from Ann Doty-Mitchell and other advisors.
BADGES
73

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