Ronald A. 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.
Ronald Alexander Mitchell III, who also goes by Ron Mitchell, Ronald A Mitchell III, Ronald Alexander Mitchell, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2002. Ronald had worked at 7 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2022 - May 19, 2025
FIDELITY BROKERAGE SERVICES LLC
October 7, 2020 - April 28, 2022
TRANSAMERICA CAPITAL, LLC
December 8, 2014 - September 21, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
December 8, 2014 - September 21, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
April 25, 2013 - November 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
April 10, 2013 - November 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 2011 - January 2, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 6, 2011 - January 2, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
December 15, 2010 - March 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 2010 - March 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 2010 - July 29, 2010
NYLIFE SECURITIES LLC
January 17, 2007 - March 3, 2010
TD AMERITRADE, INC.
January 17, 2007 - March 3, 2010
TD AMERITRADE, INC.
February 11, 2002 - December 19, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 31, 2002 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 31, 2002 - December 19, 2006
AMERIPRISE FINANCIAL SERVICES, 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
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
