GM
Gary Mitchell
UNITED CAPITAL FINANCIAL ADVISORS
SEATTLE, WA 98101
Some features on this profile are disabled
CRD#: 1432266
GM
Professional summary
Gary Mitchell, CFA, who also goes by Gary Richard Mitchell, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Seattle, Washington.
Gary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Gary has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gary Richard Mitchell
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. Treasurer at Blue Ridge Community HOA, a homeowners association. Organization's primary address is in Seattle, WA. Organization is not primarily engaged in investment-related activities. Start Date is February 7th, 2022. Four hours per month. Duties include the monthly reporting of finances to members and monitoring the HOA's reserve fund.
CRS (Client Relationship Summary) - RIA
Click below to view Gary 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
December 19, 2012 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 601 Union Street Suite 4242, Seattle, WA 98101RIA
CRD#: 134600
SEATTLE, WA
Past
April 11, 1996 - April 1, 2013
PARAGON INVESTMENT MANAGEMENT INC
RIA
CRD#: 107869
SEATTLE, WA
Past
February 2, 1996 - November 4, 2010
P.I.M., INC.
RIA
CRD#: 107909
SEATTLE, WA
Past
November 21, 1985 - April 3, 1987
WADDELL & REED
BD
CRD#: 866
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 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.Highlighted states indicate IAR registrations
IAR
California(12/19/2012)
IAR
Oregon(12/19/2012)
IAR
Washington(12/19/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
