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David L. Mitchell

Some features on this profile are disabled
CRD#: 2508455
DM

Professional summary

David Len Mitchell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, David had worked at 2 firms, which includes WRP INVESTMENTS INC., RAYMOND JAMES FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

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

July 6, 1995 - September 11, 1997

WRP INVESTMENTS, INC.

BD
CRD#: 7365
YOUNGSTOWN, OH
Past

July 12, 1994 - July 7, 1995

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL

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.

Exams

General Industry/Product Exam
RR
Series 7
Date: 7/11/1994
General Securities Representative Examination

Current Firm

WI
WRP INVESTMENTS, INC.
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | WRP INVESTMENTS, INC.

CRD#: 7365 / SEC#: 801-39365, 8-21374

BD
Terminated by SEC on 09/10/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 11/12/1976
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SAIAS FORM ADV PART 2A (10/10/2014)

Direct owners and executive officers

NamePositionCRD#
STERNE AGEE FINANCIAL SERVICES, INC.OWNER18456
OLSEN, JOHN GERALDCCO1395283

Disclosures

Regulatory Event3
Arbitration1
Bond1

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.

Company Information

WRP INVESTMENTS, INC.

CRD#: 7365

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