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JM

James A. Mitchell

Some features on this profile are disabled
CRD#: 4544509
JM

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 Alexander Mitchell, who also goes by James Alexander Mitchell II, James Alexander Mitchell, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2002. James had worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

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

October 24, 2024 - December 31, 2025

DAVENPORT & ASSOCIATES, INC.

RIA
CRD#: 327796
NORWALK, CT
Past

April 15, 2021 - December 15, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Westport, CT
Past

January 6, 2009 - April 23, 2019

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WESTPORT, CT
Past

January 6, 2009 - April 23, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WESTPORT, CT
Past

April 2, 2007 - January 9, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
GREENWICH, CT
Past

April 2, 2007 - January 9, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
GREENWICH, CT
Past

December 21, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
GREENWICH, CT
Past

December 21, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
GREENWICH, CT
Past

October 17, 2003 - November 2, 2005

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
GREENWICH, CT
Past

October 17, 2003 - November 2, 2005

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

September 6, 2002 - September 15, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
STAMFORD, CT
Past

August 16, 2002 - September 15, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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: 9/5/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2002
General Securities Representative Examination

Current Firm

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

CRD#: 327796 / SEC#:

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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
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts10
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.

Company Information

DAVENPORT & ASSOCIATES, INC.

CRD#: 327796

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