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JM

James O. Mitchell

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CRD#: 336937
JM
James O'neal Mitchell JR

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.

James O'neal Mitchell JR, who also goes by James Oneal Mitchell Jr, Jim Mitchell, James O'neal Mitchell Jr Jr, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2003. James had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

James Oneal Mitchell Jr | Jim Mitchell | James O'neal Mitchell Jr Jr

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.

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

January 8, 2024 - August 28, 2026

DIVERSIFY ADVISORY SERVICES, LLC

RIA
CRD#: 326060
DECATUR, AL
Past

June 5, 2020 - January 8, 2024

DFPG INVESTMENTS, LLC

RIA
CRD#: 155576
DECATUR, AL
Past

June 5, 2020 - August 28, 2026

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
DECATUR, AL
Past

April 21, 2017 - June 7, 2020

BFC PLANNING, INC.

RIA
CRD#: 119682
Decatur, AL
Past

April 18, 2017 - June 7, 2020

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
Decatur, AL
Past

May 16, 2008 - April 18, 2017

TRIAD ADVISORS LLC

RIA
CRD#: 25803
DECATUR, AL
Past

May 16, 2008 - April 18, 2017

TRIAD ADVISORS LLC

BD
CRD#: 25803
DECATUR, AL
Past

August 3, 2007 - May 15, 2008

VERITRUST FINANCIAL, LLC

RIA
CRD#: 106594
DECATUR, AL
Past

August 3, 2007 - May 15, 2008

VERITRUST FINANCIAL, LLC

BD
CRD#: 106594
AUSTIN, TX
Past

April 2, 2007 - August 6, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
HUNTSVILLE, AL
Past

April 2, 2007 - August 6, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
HUNTSVILLE, AL
Past

February 9, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
HUNTSVILLE, AL
Past

November 6, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
HUNTSVILLE, AL
Past

April 10, 2003 - October 7, 2003

CONSUMER CONCEPTS INVESTMENTS, INC.

BD
CRD#: 26167
AUSTELL, GA

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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RESILIENT WEALTH MANAGEMENT | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC

CRD#: 326060 / SEC#: 801-128675

RIA
Registered Investment Advisory firm - (8/31/2023 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: 2/6/2004
Uniform Combined 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: 4/8/2003
General Securities Representative Examination

Current Firm

DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RESILIENT WEALTH MANAGEMENT | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC

CRD#: 326060 / SEC#: 801-128675

RIA
Registered Investment Advisory firm - (8/31/2023 Approved)
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Contact information

Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DIVERSIFY ADVISORY SERVICES FORM ADV PART 2A (10/27/2025)
DAS WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts8,318
AUM (Assets Under Management)$ 3,206,698,268

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/09/2026
Cover Page
Report
09/25/2024
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

DIVERSIFY ADVISORY SERVICES, LLC

CRD#: 326060

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