PM
Phyllis R. Mitchell
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Ocean Park, MD 21842
Some features on this profile are disabled
CRD#: 1001654
PM
Professional summary
Phyllis Rice Mitchell, CFP®, who also goes by Phyllis Rice, Phyllis Rice White, Phyllis White, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Ocean Park, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Ocean City, Maryland.
Phyllis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Phyllis has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phyllis Rice | Phyllis Rice White | Phyllis White
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) The MacNamee Group/First Protective, 1450 Boot Road Suite 600A, West Chester PA, . 01/28/2002. Insurance Agent. Investment related, 10/yearly, 1/trading. 2) Ocean Pines Chamber of Commerce, 11031 Cathell Road Berlin MD Board Member. 9/15/1981. Not investment related, 5/yearly, 0/trading 3) Association of the Pupils of H.Dickinson Rathbun, CSB Richmond, VA. 8/6/1973. Member of the AMCOM Committee. Not investment related, 20/yearly,0/trading 4) Phyllis Mitchell Financial Services, INC 9927 Stephen Decatur Highway, Suite 18, Ocean City, MD 21842. Owner of RIA, 10/30/1983. Investment related, 30/yearly, 2/trading 5) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 20/TRADING. 10/17/17. 6) FIRST NATION CHURCH AND MINISTRY, 931 TENTH AVE STE 451, MODESTO, CA, 04/2019. OFFICIANT, TO PERFORM MARRIAGE CEREMONIES. NIR-2/YR-0/TRADING. 7) ROBERT AND PHYLLIS MITCHELL 8917 PHEASANT ROAD, BERLINE, MD, BUSINESS CONDOMINIUM OWNER, 05/05/17, NIR, 0/YR- 0/TRADING 8)MITCHELL, HASTINGS, AND SWEIGERT FINANCIAL SERVICES, 8917 Pheasant Road, 9927 STEPHEN DECATUR HWY, Berlin MD 21811, United States, 05/05/2024, OWNER, DBA Name, 160HR/MO- 160HR/TRADING. 9) EXECUTOR OF LAST WILL AND TESTAMENT, YVONNE JOHNSON, 11 NORTH TURNBERRY DR, DOVER, DE, 05/01/21, INV REL, 20 HR/YR- 0/TRADING HR. 10) FIRST CHURCH OF CHRIST, SCIENTIST, 901 SOUTH WALNUT ST, MILFORD, DE, 08/2022 Director, Volunteer, NIR, 2 HR/MO- 0 HR/MO Trading. 11) COMMUNITY FOUNDATION OF THE EASTERN SHORE. 1324 BELMONT AVENUE SALISBURY MD 21804, 11/2023, BOARD MEMBER, CHARITABLE ORGANIZATION, NIR, 4 HR/MO 2 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Phyllis Rice Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
October 17, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 9927 Stephen Decatur Highway, Suite 18, Ocean Park, MD 21842RIA
CRD#: 134139
Ocean Park, MD
Current
October 17, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9927 Stephen Decatur Highway, Suite 18, Ocean City, MD 21842BD
CRD#: 39543
Ocean City, MD
Past
April 6, 2022 - April 6, 2023
PHYLLIS R. MITCHELL FINANCIAL SERVICES, INC.
RIA
CRD#: 121337
Ocean City, MD
Past
December 1, 2009 - October 24, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
OCEAN CITY, MD
Past
December 1, 2009 - October 24, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
OCEAN CITY, MD
Past
January 4, 1999 - December 1, 2009
MEDALLION INVESTMENT SERVICES, INC.
BD
CRD#: 45314
OCEAN CITY, MD
Past
March 20, 1998 - December 1, 2009
MEDALLION ADVISORY SERVICES, LLC
RIA
CRD#: 113788
OCEAN CITY, MD
Past
July 31, 1996 - December 31, 1998
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
KNOXVILLE, TN
Past
January 1, 1996 - August 13, 1996
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
October 4, 1988 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
BD
CRD#: 22710
Past
April 10, 1985 - December 31, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
March 8, 1984 - May 13, 1985
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
November 16, 1983 - April 22, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
September 16, 1981 - October 25, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
July 8, 1981 - October 25, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/17/2017)
RR
Colorado(10/17/2017)
RR
Delaware(10/17/2017)
RR
Florida(10/17/2017)
RR
Maryland(10/17/2017)
IAR
Maryland(10/17/2017)
RR
New Hampshire(10/17/2017)
RR
New Jersey(10/17/2017)
RR
North Carolina(10/17/2017)
RR
Pennsylvania(10/17/2017)
RR
South Carolina(10/17/2017)
RR
Virginia(10/17/2017)
RR
Washington(8/22/2025)
RR
West Virginia(6/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
