Stephanie Mitzel, financial advisor Phoenix AZ
83 score

Stephanie Mitzel

CRD Number: 4431781
Current Firm: First Allied Advisory Services, Inc.

Stephanie Mitzel (CRD# 4431781) is an Investment Advisor Representative working at First Allied Advisory Services, Inc. in Phoenix, AZ and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
First Allied Securities, Inc. San Diego, CA Jun 2014 - Current 2
First Allied Advisory Services San Diego, CA Jun 2014 - Current 2
Rg Capital Investment Advisory Services, LLC Scottsdale, AZ Oct 2012 - Oct 2015 3
Bbva Wealth Solutions Inc. Houston, TX Oct 2010 - Jul 2012 1
Compass Bank Scottsdale, AZ Nov 2006 - Jul 2012 5
Bbva Compass Investment Solutions, Inc. Scottsdale, AZ Nov 2006 - Jul 2012 5
St. Johns Investment Management Company Scottsdale, AZ Jun 2010 - Oct 2010 < 1
Chase Investment Services Corp. Chicago, IL Jul 2005 - Oct 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 2001
S65 NASAA Investment Advisors Law Examination Jun 2010
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
Get Details on the FINRA Advisor Check site
Contact Info for Stephanie M. Mitzel
Phone Number: 866-378-1376
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
    4,440
    MILLIONS
  • Total Number of Accounts
    26,339
    ACCOUNTS
  • Average Account Value
    $168,585
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, VT, WA, WI, WV

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BADGES
83

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