James A. Mitchell
Professional summary
James Allen Mitchell, who also goes by James Allen Mitchell, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Allen Mitchell's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2019 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078August 23, 2013 - September 30, 2019
ALPS DISTRIBUTORS, INC.
July 2, 2007 - August 15, 2013
KBR CAPITAL MARKETS, LLC
May 22, 2006 - July 12, 2007
GCC-PROSPECT CORPORATION
December 11, 2004 - December 19, 2005
METLIFE INVESTORS DISTRIBUTION COMPANY
October 2, 2003 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
September 5, 2003 - October 6, 2003
PACIFIC SELECT DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2023)
(10/10/2019)
(1/7/2022)
(1/10/2022)
(1/6/2023)
(1/18/2024)
(1/18/2023)
(10/10/2019)
(1/4/2023)
(10/10/2019)
Exams
FINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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