Steven M. Mitchell

MAIN STREET FINANCIAL ADVISORS

Justin, TX

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CRD#: 1492553

Professional summary

Steven Mark Mitchell, CFP®, who also goes by Mitch Mitchell, Steven Mitchell, is a registered financial advisor currently at MAIN STREET FINANCIAL ADVISORS located in Justin, Texas.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Steven has worked at 14 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mitch Mitchell | Steven 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark 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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

March 30, 2016 - Present

MAIN STREET FINANCIAL ADVISORS

RIA

CRD#: 132141

Justin, TX

Past

October 29, 2002 - June 1, 2004

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SOUTHLAKE, TX

Past

October 18, 2002 - June 1, 2004

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

September 12, 2001 - October 9, 2002

OSAIC FA, INC.

RIA

CRD#: 3978

SOUTHLAKE, TX

Past

September 12, 2001 - October 9, 2002

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 12, 2001 - October 9, 2002

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

April 23, 1998 - September 5, 2001

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

MINNEAPOLIS, MN

Past

May 1, 1995 - April 23, 1998

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

January 19, 1994 - May 3, 1995

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

February 10, 1993 - January 25, 1994

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

July 24, 1990 - February 8, 1993

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

November 19, 1989 - July 3, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 1, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

August 24, 1989 - November 8, 1989

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

July 26, 1988 - December 13, 1988

UR FINANCIAL, INC.

CRD#: 10509

Past

June 13, 1986 - August 25, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

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

Texas
(3/30/2016)

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 65

Date: 8/24/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/13/1992

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/15/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/12/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/1997

General Securities Principal Examination

Current Firm

MAIN STREET FINANCIAL ADVISORS

MAIN STREET FINANCIAL ADVISORS | MITCHELL, STEVEN MARK

CRD#: 132141 / SEC#:

Louisiana

Registered Investment Advisory firm - (12/9/2005 Terminated)

Ohio

Registered Investment Advisory firm - (3/31/2006 Terminated)

Texas

Registered Investment Advisory firm - (8/5/2004 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Justin, TX

Mailing Address

Phone number

(817) 300-7526

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 4,463,267

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.

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Advisor Monitoring

Firm Stability Insights

Steven M. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

MARQUETTE FINANCIAL GROUP, INC.

ESSEX NATIONAL SECURITIES, LLC

ALLSTATE FINANCIAL SERVICES, LLC

BA INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

WALNUT STREET SECURITIES, INC.

UR FINANCIAL, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/1998

Series 63

Date: 5/6/1986

Series 7

Date: 2/13/1992

Series 22

Date: 6/15/1987

Series 6

Date: 6/12/1986

Series 24

Date: 8/27/1997

Current Firm

MAIN STREET FINANCIAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAIN STREET FINANCIAL ADVISORS

TRUST BUT VERIFY

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