Mark M. Mitchell
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.
Mark Michael Mitchell, who also goes by Mark M Mitchell, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 10 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2012 - November 13, 2012
GRADIENT ADVISORS, LLC
December 5, 2011 - April 11, 2012
HIGHWAY FINANCIAL NETWORKS
September 16, 2009 - September 8, 2010
J. W. COLE ADVISORS, INC.
September 16, 2009 - September 8, 2010
J.W. COLE FINANCIAL, INC.
July 18, 2006 - July 31, 2008
J. W. COLE ADVISORS, INC.
June 7, 2006 - July 31, 2008
J.W. COLE FINANCIAL, INC.
January 14, 1994 - December 31, 1994
BLUEBONNET SECURITIES, INC.
August 15, 1991 - December 31, 1991
CETERA WEALTH SERVICES, LLC
August 16, 1989 - February 21, 1991
DERAND/PENNINGTON/BASS, INC.
April 7, 1989 - August 3, 1989
MORGAN STANLEY DW INC.
July 8, 1988 - April 15, 1989
DERAND/PENNINGTON/BASS, INC.
June 23, 1987 - July 8, 1988
FINANCIAL SYNERGIES EQUITIES, INC.
January 29, 1987 - July 18, 1987
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,222 |
| AUM (Assets Under Management) | $ 218,611,410 |
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.
