James A. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Alexander Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2015 - Present
MIGHTY OAK MANAGEMENT LLC
August 12, 2005 - August 24, 2015
INVEST FINANCIAL CORPORATION
August 12, 2005 - August 24, 2015
INVEST FINANCIAL CORPORATION
January 11, 2005 - December 13, 2005
BLUE HILL CAPITAL PARTNERS LLC
January 14, 2002 - July 6, 2004
UBS FINANCIAL SERVICES INC.
November 14, 2001 - July 6, 2004
UBS FINANCIAL SERVICES INC.
September 30, 1987 - January 29, 1992
JANNEY MONTGOMERY SCOTT LLC
January 31, 1980 - October 13, 1987
UBS FINANCIAL SERVICES INC.
October 5, 1973 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/4/2015)
(10/14/2016)
Exams
Series 5
Date: 12/1/1981
Interest Rate Options ExaminationPC
Date: 10/24/1980
AMEX Put and Call ExamSeries 1
Date: 9/29/1973
Registered Representative ExaminationCurrent Firm
MIGHTY OAK MANAGEMENT LLC
CRD#: 127645 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 12,000,000 |
Red Flags
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