Rita P. Mitchell

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CRD#: 1312370

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rita Powell Mitchell, who also goes by Rita Gayle Powell, Rita Gayle Powell, was a registered financial professional .

Rita is a previously registered financial professional and started their career in finance in 1984. Rita had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rita Gayle Powell | Rita Gayle Powell

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.

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Rita Mitchell, LLC / 0818-Present / Investment Related: No / 10 Burton Hills Floor 4, PMB #4 Nashville, TN 37215 / President & CEO / Author- Speaker / Hrs. Work Monthly: 20 / Sec Trading Hrs: 1 / Author, Speaker, empowerment coach, consultant Studio Bank / 1018-Present / Investment Related: No / 124 12th Ave. South, Studio Bank Suite 400 Nashville, TN 37203/ Founders / Advisory Board / Hrs. Work Monthly: 1 / Sec Trading Hrs: 0 / Meeting Approximately 2/y Leadership Nashville / 0721-Present / Investment Related: No / 222 2nd Avenue South, Nashville, TN 37201 / Board Member / Alumni Board Member / Hrs. Work Monthly: 1 / Sec Trading Hrs: 0 / Quarterly Meeting / Hrs. Work Monthly: 1 / Sec Trading Hrs: 0 / Quarterly meeting YWCA Nashville & Middle Tennessee / 0721-Present / Investment Related: No / 1608 Woodmont Blvd. Nashville TN 37215 / Past Board Chair / Non-profit board member / Hrs. Work Monthly: 8 / Sec Trading Hrs: 0/ Serving on executive committee, volunteer activities YWCA USA / 0721-Present / Investment Related: No / 1400 Eye Street NW YWCA USA 325 Washington, DC 20005 / Board Member/ Non-Profit / Hrs. Work Monthly: 8 / Sec Trading Hrs: 0 / Quarterly board meetings, committee meetings RITA P. MITCHELL, LLC POSITION: President & CEO NATURE: Author, Speaker, Coach (same as before) INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 3 START DATE: 08/01/2018 ADDRESS: 10 Burton Hills Blvd., 4th Floor, PMB #4, Nashville TN 37215, United States DESCRIPTION: Author, Speaker, Coach

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 24, 2020 - June 26, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

Murfreesboro, TN

Past

March 24, 2020 - June 26, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

Murfreesboro, TN

Past

October 10, 2013 - November 13, 2018

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

NASHVILLE, TN

Past

July 12, 2012 - October 10, 2013

FTB ADVISORS, INC.

RIA

CRD#: 143830

NASHILLE, TN

Past

July 28, 2003 - March 30, 2012

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

NASHVILLE, TN

Past

July 28, 2003 - November 13, 2018

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

NASHVILLE, TN

Past

November 19, 2001 - July 2, 2003

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

January 31, 2000 - October 9, 2001

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

July 18, 1997 - January 28, 2000

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

May 8, 1997 - July 25, 1997

CENTENNIAL CAPITAL MANAGEMENT, INC.

CRD#: 38988

ATLANTA, GA

Past

August 14, 1990 - May 9, 1997

WORLD INVEST CORPORATION

CRD#: 17223

DEERFIELD BEACH, FL

Past

February 2, 1989 - August 14, 1990

GLOBAL INVESTOR SECURITIES, INC.

CRD#: 7514

Past

January 29, 1987 - January 31, 1989

SOURCE SECURITIES, INC.

CRD#: 8026

Past

December 4, 1984 - May 13, 1986

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/29/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/10/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/23/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/3/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/29/1992

General Securities Principal Examination

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102

Mailing Address

6400 C St Sw, Cedar Rapids, IA 52499-0001

Phone number

(727) 299-1800

Established

Delaware since 12/28/1984

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,054

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)

TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

Regulatory assets under management

Total Number of Accounts	42,440
AUM (Assets Under Management)	$ 1,730,669,809

Disclosures

Regulatory Event	19
Arbitration	3
Bond	3

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Rita P. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

FIRST HORIZON ADVISORS, INC.

FTB ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

AMSOUTH INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

EDWARD JONES

CENTENNIAL CAPITAL MANAGEMENT, INC.

WORLD INVEST CORPORATION

GLOBAL INVESTOR SECURITIES, INC.

SOURCE SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2002

Series 63

Date: 12/10/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/23/1987

Series 6

Date: 12/3/1984

Series 24

Date: 5/29/1992

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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