James R. Mitchell
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 Ross 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 1995. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2012 - December 31, 2013
POINT BONITA WEALTH ADVISORS LLC
May 8, 2008 - March 29, 2010
DISTRIBUTION SERVICES, LLC
April 4, 2000 - January 2, 2008
BARON CAPITAL, INC.
January 21, 1999 - January 5, 2000
BISYS SHELF B/D (1), INC.
January 9, 1998 - July 13, 1998
CASPIAN SECURITIES INCORPORATED
September 19, 1995 - March 3, 1997
ROBERTSON, STEPHENS & COMPANY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
POINT BONITA WEALTH ADVISORS LLC
CRD#: 162241 / SEC#:
Contact information
Red Flags
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