James Francis Mitchell
Professional Summary
James Francis Mitchell is a registered financial advisor currently at SEAPORT GLOBAL SECURITIES LLC located in Costa Mesa, California. James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
PERICLES CAPITAL | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC
Contact Information
Main Address
360 Madison Ave 22nd Floor, New York, NY 10017Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017Phone Number
(212) 616-7700Established
Delaware since 05/04/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Oct 2004About the Series 87 examSRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Francis Mitchell's CRS (Customer Relationship Summary).
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