Joshua C. Mitchell
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.
Joshua Christopher Mitchell, who also goes by Josh Mitchell, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2000. Joshua had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2023 - June 28, 2024
ORION PORTFOLIO SOLUTIONS, LLC
August 25, 2023 - June 28, 2024
BRINKER CAPITAL SECURITIES, LLC
September 22, 2017 - January 25, 2023
CHARLES SCHWAB & CO., INC.
September 22, 2017 - January 25, 2023
CHARLES SCHWAB & CO., INC.
January 5, 2016 - July 25, 2017
FORESIDE FUND SERVICES, LLC
August 17, 2015 - September 20, 2017
MILLER HOWARD INVESTMENTS INC
May 27, 2015 - December 31, 2015
TANGENT CAPITAL PARTNERS, LLC
July 2, 2014 - September 16, 2014
AMERICAN ELM DISTRIBUTION PARTNERS, LLC
February 5, 2014 - April 8, 2014
INVEST FINANCIAL CORPORATION
August 24, 2010 - April 8, 2014
INVEST FINANCIAL CORPORATION
September 5, 2007 - September 1, 2010
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
March 5, 2007 - August 20, 2007
EQUITABLE ADVISORS, LLC
September 10, 2003 - August 31, 2004
INVESCO DISTRIBUTORS, INC.
May 15, 2000 - February 9, 2001
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
ORION PORTFOLIO SOLUTIONS, LLC
CRD#: 107975 / SEC#: 801-57265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ORION PORTFOLIO SOLUTIONS, LLC
CRD#: 107975 / SEC#: 801-57265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 203,878 |
| AUM (Assets Under Management) | $ 57,658,151,186 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 10/21/2024 | ||
| 01/17/2024 | ||
| 10/25/2022 |
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.
