James H. Mitchell

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CRD#: 2398931

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.

James Harold Mitchell, who also goes by Jim Mitchell, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1993. James had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 03/2022 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: STS INVESTMENT RELATED: NO ADDRESS: ASTON, PA 19014 NATURE OF BUSINESS: EDUCATION START DATE: 10/2021 POSITION/TITLE/RELATIONSHIP: SUBSTITUTE TEACHER APX NUMBER OF HOURS PER WEEK: 14 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: SUBSTITUTE TEACHER. TEACH CLASSES FOR TEACHERS UNABLE TO WORK THAT DAY. 3. NAME OF OTHER BUSINESS: FREEDOM FINANCIAL WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2022 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2023 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LEMOYNE, PA

Past

March 21, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LEMOYNE, PA

Past

March 21, 2022 - December 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LEMOYNE, PA

Past

July 17, 2013 - March 30, 2022

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Camp Hill, PA

Past

July 16, 2013 - March 30, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Camp Hill, PA

Past

June 29, 2010 - July 19, 2013

EQUITABLE ADVISORS, LLC

CRD#: 6627

LANCASTER, PA

Past

September 30, 2004 - December 20, 2005

WIENKEN & ASSOCIATES, LTD.

RIA

CRD#: 115688

CAMP HILL, PA

Past

January 31, 2004 - June 1, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

CAMP HILL, PA

Past

May 8, 2000 - January 23, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 2, 1997 - May 8, 2000

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

December 7, 1993 - February 7, 1997

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/4/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/6/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/28/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 6/1/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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James H. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

EQUITABLE ADVISORS, LLC

WIENKEN & ASSOCIATES, LTD.

MML INVESTORS SERVICES, LLC

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/1997

Series 63

Date: 12/8/1993

Series 6TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/6/1993

Series 53

Date: 4/28/2008

Series 24

Date: 5/1/2007

Series 26

Date: 6/1/1998

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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