Stephanie MitzelCRD 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.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|First Allied Securities, Inc.||San Diego, CA||Jun 2014 - Current||3|
|First Allied Advisory Services||San Diego, CA||Jun 2014 - Current||3|
|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|
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 Management4,440MILLIONS
Total Number of Accounts26,339ACCOUNTS
Average Account Value$168,585
- 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, VT, WA, WI, WV