Francis Gerald Mitchell
Professional Summary
Francis Gerald Mitchell, who also goes by Francis G Mitchell, Francis Gerald Mitchell, Frank Mitchell, was a registered financial advisor. Francis was a previously registered financial professional and started their career in finance 1984 - 2026. Francis had worked at 10 firms and has passed the Series 63, Series 99TO, Series 82TO, SIE, Series 7, Series 27, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Francis G Mitchell, Francis Gerald Mitchell, Frank Mitchell
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
Past
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Current Firm
E.F. HUTTON & CO. LLC | WH CAPITAL LLC
Contact Information
Main Address
745 Fifth Avenue 34th Floor & Ph, New York, NY 10151Mailing Address
745 Fifth Avenue 34th Floor & Ph, New York, NY 10151Phone Number
(212) 970-3700Established
Delaware since 03/20/2026Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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