JM
James F. Mitchell
SEAPORT GLOBAL SECURITIES LLC
Costa Mesa, CA 92626
Some features on this profile are disabled
CRD#: 2764421
JM
Professional summary
James Francis Mitchell is a registered financial professional 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.
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.
CRS (Client Relationship Summary) - BD
Click below to view James Francis Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 26, 2020 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 3090 Bristol Street Suite 400, Costa Mesa, CA 92626BD
CRD#: 116270
Costa Mesa, CA
Past
November 11, 2003 - March 24, 2020
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
BD
CRD#: 13233
NEW YORK, NY
Past
June 5, 2000 - September 30, 2003
NATIONAL BANK OF CANADA FINANCIAL INC.
BD
CRD#: 22698
NEW YORK, NY
Past
June 18, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
September 10, 1996 - May 23, 2000
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/26/2020)
RR
Alaska(5/26/2020)
RR
Arizona(5/26/2020)
RR
Arkansas(5/26/2020)
RR
California(5/26/2020)
RR
Colorado(5/26/2020)
RR
Connecticut(5/26/2020)
RR
Delaware(5/26/2020)
RR
District of Columbia(5/26/2020)
RR
Florida(5/26/2020)
RR
Georgia(5/26/2020)
RR
Hawaii(5/26/2020)
RR
Idaho(5/26/2020)
RR
Illinois(5/26/2020)
RR
Indiana(5/26/2020)
RR
Iowa(5/26/2020)
RR
Kansas(5/26/2020)
RR
Kentucky(5/26/2020)
RR
Louisiana(5/26/2020)
RR
Maine(5/26/2020)
RR
Maryland(5/26/2020)
RR
Massachusetts(5/26/2020)
RR
Michigan(5/26/2020)
RR
Minnesota(5/26/2020)
RR
Mississippi(5/26/2020)
RR
Missouri(5/26/2020)
RR
Montana(5/26/2020)
RR
Nebraska(5/26/2020)
RR
Nevada(5/26/2020)
RR
New Hampshire(5/26/2020)
RR
New Jersey(5/26/2020)
RR
New Mexico(5/26/2020)
RR
New York(5/26/2020)
RR
North Carolina(5/26/2020)
RR
North Dakota(5/26/2020)
RR
Ohio(5/27/2020)
RR
Oklahoma(5/26/2020)
RR
Oregon(5/26/2020)
RR
Pennsylvania(5/26/2020)
RR
Puerto Rico(5/26/2020)
RR
Rhode Island(5/26/2020)
RR
South Carolina(5/26/2020)
RR
South Dakota(5/26/2020)
RR
Tennessee(5/26/2020)
RR
Texas(5/26/2020)
RR
Utah(5/26/2020)
RR
Vermont(5/26/2020)
RR
Virginia(5/26/2020)
RR
Washington(5/26/2020)
RR
West Virginia(5/26/2020)
RR
Wisconsin(5/26/2020)
RR
Wyoming(5/26/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
