James Alexander Mitchell
Professional Summary
James Alexander Mitchell is a registered financial advisor currently at MIGHTY OAK MANAGEMENT LLC located in Easton, Connecticut. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. James has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 5, PC and Series 1 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
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
53 years in the financial services industry
Current & Past Employments
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Current Firm
MIGHTY OAK MANAGEMENT LLC
Contact Information
Main Address
Easton, CTMailing Address
P.o. Box 56, Easton, CT 06612Phone Number
(203) 964-9300# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
60AUM (Assets Under Management)
$15,000,000Similar Advisors
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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
(11/4/2015)
(10/14/2016)
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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 5 — Interest Rate Options Examination
Passed Dec 1981PC — AMEX Put and Call Exam
Passed Oct 1980Series 1 — Registered Representative Examination
Passed Sep 1973Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Alexander Mitchell's CRS (Customer Relationship Summary).
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