Leann G Mitchell
Professional Summary
Leann G Mitchell, who also goes by Leann Graf, Leann Gail Mcinnis, Leann Gail Mitchell, is a registered financial advisor currently at ALPHA OMEGA WEALTH MANAGEMENT, LLC located in Richmond, Virginia. Leann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Leann has worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 6, Series 10, Series 9 and Series 26...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Leann Graf, Leann Gail Mcinnis, Leann Gail Mitchell
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Videos & Posts
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Contact Information
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AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
ALPHA OMEGA INVESTMENT ADVISORS | GLEN ALLEN DESIGNS, LLC | ALPHA OMEGA WEALTH MANAGEMENT, LLC
Contact Information
Main Address
7202 Glen Forest Drive Suite 300, Richmond, VA 23226Phone Number
(804) 955-1600# of Employees
9SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,310AUM (Assets Under Management)
$1,023,955,176Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/30/2026 | Cover Page | Report |
| 05/08/2025 | Cover Page | Report |
| 07/29/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ALPHA OMEGA INVESTMENT ADVISORS | GLEN ALLEN DESIGNS, LLC | ALPHA OMEGA WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(5/22/2009)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2000Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1996About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2005About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2005About the Series 9 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 1997About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Leann G Mitchell's CRS (Customer Relationship Summary).
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