Christopher M. Mitchell
Professional summary
Christopher Mills Mitchell, who also goes by Christopher M Mitchell, Christopher Mitchell, is a registered financial professional currently at OSAIC WEALTH, INC. located in Scottsdale, Arizona and OSAIC SERVICES, INC. located in Scottsdale, Arizona.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 14 firms and has passed the Series 63, Series 82TO, Series 99TO, SIE, Series 7, Series 6, Series 27, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Mills Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 23, 2025 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255August 6, 2025 - Present
OSAIC SERVICES, INC.
Office #1: 18700 Hayden Road Suite 255, Scottsdale, AZ 85255August 6, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 538 Preston Avenue, Meriden, CT 06450-4858August 6, 2025 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019April 20, 2023 - November 30, 2023
LPL ENTERPRISE, LLC
December 20, 2021 - November 30, 2023
LPL FINANCIAL LLC
May 4, 2021 - December 16, 2021
WADDELL & REED
December 1, 2010 - November 11, 2011
MUTUAL SERVICE CORPORATION
November 18, 2010 - May 17, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
August 24, 2010 - December 16, 2021
LPL FINANCIAL LLC
January 15, 2003 - January 29, 2010
AMERIPRISE ADVISOR SERVICES, INC.
January 3, 2002 - January 15, 2003
FIRST ALLIED SECURITIES, INC.
August 3, 1999 - December 31, 2001
ASSET PLANNING SOLUTIONS, INC.
May 11, 1999 - October 6, 1999
FIRST ALLIED SECURITIES, INC.
May 28, 1997 - January 29, 1999
WINGSPAN INVESTMENT SERVICES
March 28, 1996 - August 1, 1996
WINGSPAN INVESTMENT SERVICES
January 19, 1994 - March 21, 1996
ESSEX NATIONAL SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/23/2025)
(8/6/2025)
(8/6/2025)
(11/11/2025)
Exams
Series 82TO
Date: 4/20/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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