James Robert Mitchell Jr
Professional Summary
James Robert Mitchell JR, who also goes by James Robert Mitchell II, Jamie Mitchell Jr, Jamie Mitchell, is a registered financial advisor currently at ANDREW GARRETT INC. located in New York, New York. James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 6 firms and has passed the Series 63, Series 52TO, Series 62, Series 99TO, Series 79TO, SIE, Series 7, Series 53, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Robert Mitchell Ii, Jamie Mitchell Jr, Jamie Mitchell
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
41 years in the financial services industry
Current & Past Employments
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Current Firm
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
Contact Information
Main Address
230 Park Ave 3rd Floor West, New York, NY 10169Mailing Address
230 Park Ave 3rd Floor West, New York, NY 10169Phone Number
(212) 682-8833Established
Delaware since 04/19/2006Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
14SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | — |
| ESTATE OF JESSE UPCHURCH | SHARE HOLDER | — |
| PLAINS CAPITAL BANK | EXECUTOR OF ESTATE | — |
| CANNIZZARO-FONG, JANNELLE LYNN | CHIEF FINANCIAL OFFICER/FINOP | 4249300 |
| MAURER, MARK HENRY | CHIEF COMPLIANCE OFFICER | 1496683 |
| MITCHELL, JAMES ROBERT JR | CHIEF ADMINISTRATIVE OFFICER | 1374268 |
| SCHAFFER, ROBERT NATHAN | CHEIF OPERATING OFFICER | 4709587 |
| SYCOFF, ANDREW GARRETT | CHIEF EXECUTIVE OFFICER/DIRECTOR | 2119089 |
Regulatory Assets Under Management
Total Number of Accounts
1,122AUM (Assets Under Management)
$521,347,399Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.
State Registrations and Notice Filings
(1/16/2004)
(7/28/2022)
(1/16/2004)
(5/30/2003)
(3/3/2004)
(2/3/2020)
(3/2/2004)
(1/6/2011)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Robert Mitchell JR's CRS (Customer Relationship Summary).
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