Steven Mark Mitchell
Professional Summary
Steven Mark Mitchell is a registered financial advisor currently at PSI CAPITAL MANAGEMENT located in Lancaster, Pennsylvania. Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Steven has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
PLANNING STRATEGIES, INC. | PSI CAPITAL MANAGEMENT
Contact Information
Main Address
147 North Shippen Street, Lancaster, PA 17602Phone Number
(717) 207-7123# of Employees
11SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,414AUM (Assets Under Management)
$384,836,994Similar Advisors
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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.
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Primary Firm SEC Registration
PLANNING STRATEGIES, INC. | PSI CAPITAL MANAGEMENT
State Registrations and Notice Filings
(1/2/2002)
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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1990About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Steven Mark Mitchell's CRS (Customer Relationship Summary).
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