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 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Leann G Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2009 - Present
ALPHA OMEGA WEALTH MANAGEMENT, LLC
Office #1: 7202 Glen Forest Drive Suite 300, Richmond, VA 23226June 30, 2005 - May 29, 2009
TRUIST INVESTMENT SERVICES, INC.
June 30, 2005 - May 29, 2009
TRUIST INVESTMENT SERVICES, INC.
May 3, 2004 - June 30, 2005
TRUIST SECURITIES, INC.
May 23, 2003 - June 30, 2005
TRUIST SECURITIES, INC.
August 8, 2002 - May 30, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 18, 2001 - July 1, 2002
SCOTT & STRINGFELLOW, LLC
November 22, 1999 - April 6, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 30, 1997 - November 2, 1999
SIGNATOR INVESTORS, INC.
April 17, 1996 - June 30, 1997
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Primary Firm SEC Registration
ALPHA OMEGA WEALTH MANAGEMENT, LLC
CRD#: 149842 / SEC#: 801-70136
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/22/2009)
Exams
Series 55
Date: 9/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
ALPHA OMEGA WEALTH MANAGEMENT, LLC
CRD#: 149842 / SEC#: 801-70136
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,282 |
| AUM (Assets Under Management) | $ 905,828,765 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/08/2025 | ||
| 07/29/2024 | ||
| 07/31/2023 | ||
| 12/28/2022 |
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
ALPHA OMEGA WEALTH MANAGEMENT, LLC
CRD#: 149842Richmond, VA 23226TRUST BUT VERIFY
Monitor Leann Mitchell
Get automatic monthly alerts on:
