James A. Mitchell

DAVENPORT & ASSOCIATES

Norwalk, CT 06854

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CRD#: 4544509

Professional summary

James Alexander Mitchell, who also goes by James Alexander Mitchell II, James Alexander Mitchell, is a registered financial advisor currently at DAVENPORT & ASSOCIATES, INC. located in Norwalk, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. James has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Alexander Mitchell Ii | James Alexander Mitchell

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) - RIA

Click below to view James Alexander Mitchell's CRS (Customer Relationship Summary).

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

Current

October 24, 2024 - Present

DAVENPORT & ASSOCIATES, INC.

Office #1: 800 Connecticut Avenue Suite E401, Norwalk, CT 06854

RIA

CRD#: 8174

STAMFORD, CT

Past

August 16, 2002 - September 15, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(10/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/5/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/2002

General Securities Representative Examination

Current Firm

DAVENPORT & ASSOCIATES, INC.

DAVENPORT & ASSOCIATES | J. DAVENPORT ADVISORS, LLC | J. DAVENPORT & ASSOCIATES, INC. | DAVENPORT & ASSOCIATES, INC.

CRD#: 327796 / SEC#:

Connecticut

Registered Investment Advisory firm - (10/13/2023 Approved)

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Contact information

Main Address

800 Connecticut Avenue Suite E401, Norwalk, CT 06854

Mailing Address

Phone number

(203) 853-6300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 4,000,000

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.

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Advisor Monitoring

Firm Stability Insights

James A. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alexander Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/5/2002

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/15/2002

Current Firm

DAVENPORT & ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DAVENPORT & ASSOCIATES, INC.

TRUST BUT VERIFY

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