Alyssa R. 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.
Alyssa Ricki Mitchell, who also goes by Alyssa Ricki Coughlin, was a registered financial professional .
Alyssa is a previously registered financial professional and started their career in finance in 2003. Alyssa had worked at 5 firms and has passed the Series 65, Series 63, 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
October 23, 2015 - March 9, 2020
ARBOR CAPITAL MANAGEMENT INC
April 21, 2015 - October 6, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 26, 2015 - October 6, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 27, 2004 - May 18, 2005
1717 CAPITAL MANAGEMENT COMPANY
September 25, 2003 - October 28, 2003
IDS LIFE INSURANCE COMPANY
September 25, 2003 - October 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
ARBOR CAPITAL MANAGEMENT INC
CRD#: 111362 / SEC#: 801-57392
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
ARBOR CAPITAL MANAGEMENT INC
CRD#: 111362 / SEC#: 801-57392
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 481 |
| AUM (Assets Under Management) | $ 348,086,332 |
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.
