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Dale K. Mitchell

Some features on this profile are disabled
CRD#: 3117189
DM

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.

Dale Keith Mitchell, who also goes by Dale K Mitchell, was a registered financial professional .

Dale is a previously registered financial professional and started their career in finance in 1999. Dale had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dale K Mitchell

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.
(1)Name of Business: First Investments and Planning Address: 14010 FNB Pkwy Ste 420, Omaha, NE, 68154, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 02/11/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Retail Brokerage Services via Raymond James (2)Name of Business: First National Bank Address: 14010 FNB Pkwy Ste 420, Omaha, NE, 68154, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 02/11/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Retail Brokerage Services via Raymond James (3)Name of Business: Immanuel Lutheran Church Foundation Address: 10408 Newport Ave, Omaha, NE, 68122, United States Activity Type: Non profit Position/Title: Officer - Treasurer Investment Related: Yes Start Date: 08/24/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I do not have an active role-the Foundation has hired an outside third party firm that manages the investments, and does all of the accounting duties. My name is on the account as the Foundation rules state that all officers of the Foundation must be church members

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 11, 2019 - May 6, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
OMAHA, NE
Past

February 11, 2019 - May 6, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
OMAHA, NE
Past

August 20, 2015 - February 19, 2019

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
OMAHA, NE
Past

February 26, 2014 - February 19, 2019

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
OMAHA, NE
Past

April 27, 2009 - February 27, 2014

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

February 12, 2007 - November 12, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
OMAHA, NE
Past

August 14, 2006 - September 11, 2006

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
VIRGINIA, MN
Past

August 14, 2006 - September 11, 2006

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
VIRGINIA, MN
Past

July 29, 2002 - August 11, 2006

INVESTMENT PROFESSIONALS, INC.

BD
CRD#: 30184
GREAT BEND, KS
Past

December 28, 2000 - July 24, 2002

RALPH HANEKE FINANCIAL SERVICES, LTD.

RIA
CRD#: 116024
GREAT BEND, KS
Past

January 25, 2000 - July 31, 2002

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

February 12, 1999 - January 21, 2000

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
CEDAR RAPIDS, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/19/2015
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/23/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1999
General Securities Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts1,030,208
AUM (Assets Under Management)$ 344,868,106,925

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

CRD#: 149018

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