James MitchellCRD Number: 3118512
Current Firm: Usaa Financial Planning Services
James Mitchell (CRD# 3118512) is an Investment Advisor Representative working at Usaa Financial Planning Services in Phoenix, AZ and has over 4 years of experience in the finance industry. James Mitchell has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
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Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|Usaa Financial Advisors, Inc.||Phoenix, AZ||Jul 2013 - Current||3|
|Usaa Financial Planning Services||Phoenix, AZ||Jul 2013 - Current||3|
|Internet Retail Affiliate Marketing||Tampa, FL||Mar 2013 - Current||4|
|Jhfn Sii||Maitland, FL||Feb 2013 - May 2013||< 1|
|Jp Morgan Chase||Heathrow, FL||Jan 2010 - Jan 2013||3|
|Mutual Of Omaha||Maitland, FL||Mar 2008 - Jan 2010||1|
|American Income Life||Pittsburgh, PA||Jan 2008 - Feb 2008||< 1|
|Pnc Financial Services Group||Pittsburgh, PA||Mar 2005 - Jan 2008||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Dec 2012|
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:
- Financial Issue
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Financial planning services
- 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