William L. Mitchell
Professional summary
William Lane Mitchell is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Pasadena, California.
William is registered as a RR (Registered Representative) and started their career in finance in 1982. William has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Lane Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2005 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 385 E. Colorado Blvd, Pasadena, CA 91101June 26, 2001 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
December 7, 1994 - January 8, 2001
WACHOVIA SECURITIES, INC.
January 14, 1992 - December 12, 1994
PIPER SANDLER & CO.
July 12, 1990 - January 22, 1992
ZAHNER AND COMPANY
September 30, 1989 - June 20, 1990
ADVEST, INC.
October 30, 1987 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
March 5, 1986 - September 1, 1987
AMERICAN FRONTEER FINANCIAL CORPORATION
December 20, 1984 - March 18, 1986
BLINDER, ROBINSON & CO., INC.
August 29, 1984 - October 18, 1984
CHESLEY AND DUNN, INC.
May 12, 1983 - September 5, 1984
B. J. LEONARD AND COMPANY, INC.
April 7, 1982 - May 9, 1983
BLINDER, ROBINSON & CO., INC.
February 9, 1982 - April 8, 1982
ENTERPRISE FUND DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(12/1/2005)
(12/1/2005)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(9/21/2007)
(7/20/2006)
(7/20/2006)
(9/21/2007)
(12/1/2005)
(12/1/2005)
(8/5/2008)
(8/5/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(9/21/2007)
(12/1/2005)
(10/9/2008)
(7/20/2006)
(10/9/2008)
(12/1/2005)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/13/2008)
(12/1/2005)
(10/14/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(8/5/2008)
(9/21/2007)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(10/9/2008)
(9/21/2007)
(12/1/2005)
Exams
FINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
