Daniel W. Mitchell

D.M. WEALTH MANAGEMENT

Norman, OK 73069

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CRD#: 2263169

Professional summary

Daniel William Mitchell, who also goes by Dan Mitchell, Daniel William Mitchell, Danny Mitchell, is a registered financial advisor currently at D.M. WEALTH MANAGEMENT, INC. located in Norman, Oklahoma.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Daniel has worked at 10 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Mitchell | Daniel William Mitchell | Danny 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)ARDENT GROUP INC, 219 W Boyd Ste 205 Norman, OK 73069, PRESIDENT, MONITOR EXPENSES & SALARY, 10 HRS PER MONTH. 10 HRS PER MONTH DURING TRADING, NON INVEST RELATED, START 10/12/06; 2)NOBLE PUBLIC SCHOOL, 4601 E. ETOWAH RD, NOBLE, OK 73068, TEACHER, 30 HOURS PER MONTH, 30 HOURS DURING TRADING HRS, NON-INVESTMENT RELATED, START 8/1998 2) Daniel William Mitchell is a licensed insurance agent. From time to time, he will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. D.M. Wealth Management, Inc. always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of D.M. Wealth Management, Inc. in their capacity as a licensed insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel William 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®

None

Experience

Current

June 19, 2018 - Present

D.M. WEALTH MANAGEMENT, INC.

Office #1: 309 East Main Street, Norman, OK 73069

RIA

CRD#: 128194

Norman, OK

Past

September 21, 2010 - October 2, 2018

INVESTMENT COUNSELING SERVICES, INC.

RIA

CRD#: 153049

NORMAN, OK

Past

February 9, 2010 - October 28, 2010

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

NORMAN, OK

Past

February 9, 2010 - October 28, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

NORMAN, OK

Past

July 8, 2008 - December 22, 2009

FINANCIAL COUNSELING SERVICES, LLC

RIA

CRD#: 134476

NORMAN, OK

Past

December 20, 2006 - February 12, 2010

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

NORMAN, OK

Past

December 19, 2006 - February 12, 2010

INVEST FINANCIAL CORPORATION

CRD#: 12984

NORMAN, OK

Past

June 27, 2003 - December 13, 2006

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NORMAN, OK

Past

June 20, 2003 - December 13, 2006

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

NORMAN, OK

Past

July 25, 2001 - June 17, 2003

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

NORMAN, OK

Past

May 31, 2001 - June 17, 2003

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

November 22, 1992 - June 6, 2001

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

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

Oklahoma
(6/19/2018)

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: 9/8/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/17/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

D.M. WEALTH MANAGEMENT, INC.

CRD#: 128194 / SEC#:

Oklahoma

Registered Investment Advisory firm - (9/29/2003 Approved)

Texas

Registered Investment Advisory firm - (3/15/2016 Conditional Restricted)

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Contact information

Main Address

309 East Main Street, Norman, OK 73069

Mailing Address

Phone number

(405) 329-8884

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	431
AUM (Assets Under Management)	$ 49,894,221

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

Daniel W. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel William Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT COUNSELING SERVICES, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

FINANCIAL COUNSELING SERVICES, LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

FFP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/8/1993

Series 63

Date: 10/23/1992

Series 6

Date: 11/17/1992

Current Firm

D.M. WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

D.M. WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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