Keith MitchellCRD Number: 1175704
Current Firm: Royal Alliance Associates, Inc.
Keith Mitchell (CRD# 1175704) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in Maumee, OH and has over 32 years of experience in the finance industry.
Bollin Wealth Management, LLC
Independence Capital Company, Inc.
Ameriprise Financial Services, Inc.
|Royal Alliance & Associates||Maumee, OH||Dec 2012 - Current||4|
|Signator Investors, Inc.||Boston, MA||May 1996 - Dec 2012||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1985|
|S65||NASAA Investment Advisors Law Examination||May 1999|
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
Total Assets Under Management4,629MILLIONS
Total Number of Accounts19,113ACCOUNTS
Average Account Value$242,202
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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