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SM

Scott Alexander Mitchell

INSPEREX

DELRAY BEACH, FL

·CRD# 4717597·23 years experience

Professional Summary

Scott Alexander Mitchell, who also goes by Scott Alexander Mitchell, Scott Mitchell, is a registered financial advisor currently at INSPEREX LLC located in Delray Beach, Florida and FINANCIAL NORTHEASTERN SECURITIES, LLC located in Fairfield, New Jersey. Scott is registered as a RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 6 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 17, Series 10 and Series...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Scott Alexander Mitchell, Scott Mitchell

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

23 years in the financial services industry

Current & Past Employments

INSPEREX LLC·CRD# 101420

BD

1. 25 Se 4th Avenue Suite 400, Delray Beach, FL 334832. 25 Se 4th Avenue Suite 400, Delray Beach, FL 33483

January 18, 2025 - Present

FINANCIAL NORTHEASTERN SECURITIES, LLC·CRD# 17007

BD

1. 100 Passaic Avenue, Fairfield, NJ 070042. 25 Se 4th Avenue Suite 400, Delray Beach, FL 33483

April 29, 2026 - Present

INCAPITAL DISTRIBUTORS LLC·CRD# 156622

BD

Delray Beach, FL

January 27, 2025 - April 21, 2026

J.P. MORGAN SECURITIES LLC·CRD# 79

BD

New York, NY

October 1, 2008 - August 30, 2024

J.P. MORGAN SECURITIES INC.·CRD# 18718

BD

New York, NY

July 15, 2004 - October 1, 2008

CIBC WORLD MARKETS CORP.·CRD# 630

BD

New York, NY

November 5, 2003 - July 29, 2004

Similar Advisors

TRANSAMERICA FINANCIAL ADVISORS, LLC

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Stuart Craig Chamberlin JR

SOUND INCOME STRATEGIES, LLC

Boca Raton, FL · CRD#

Current Firm

FN

FINANCIAL NORTHEASTERN SECURITIES, LLC

FINANCIAL NORTHEASTERN SECURITIES, INC. | FNC INVESTMENTS CORPORATION | FINANCIAL NORTHEASTERN SECURITIES, LLC

CRD#: 17007 / SEC#: 8-34883

BD

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Contact Information

Main Address

100 Passaic Avenue One Greenbrook Corporate Center, Fairfield, NJ 07004

Mailing Address

100 Passaic Avenue 100, Fairfield, NJ 07004

Phone Number

(973) 882-9337

Established

New Jersey since 02/25/2026

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

42

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
INCAPITAL HOLDINGS LLC	MEMBER: VOTING	—
KISS, SANDRALIN JOSEPHINE	EXEC VP, COO, FINOP, CCO	1093671
MILLAHN, FLORENCE A	DIRECTOR OF OPERATIONS, ROSFP	2786661
MILSTEIN, BARRY MITCHELL	EVP	1632450
MITCHELL, SCOTT ALEXANDER	CEO	4717597
ZAGE, JEFFREY P	MANAGING DIRECTOR	1286688
ZAGE, STEVEN MARTIN	MANAGING DIRECTOR	1314965

Disclosures

Regulatory Event

4

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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.

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TRANSAMERICA FINANCIAL ADVISORS, LLC

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State Registrations and Notice Filings

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

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(1/18/2025)

RR

Alaska
(1/18/2025)

RR

Arizona
(1/18/2025)

RR

Arkansas
(1/18/2025)

RR

California
(1/18/2025)

RR

Colorado
(1/18/2025)

RR

Connecticut
(1/18/2025)

RR

Delaware
(1/18/2025)

RR

District of Columbia
(1/18/2025)

RR

Florida
(1/18/2025)

RR

Georgia
(1/18/2025)

RR

Hawaii
(1/18/2025)

RR

Idaho
(1/18/2025)

RR

Illinois
(1/18/2025)

RR

Indiana
(1/18/2025)

RR

Iowa
(1/18/2025)

RR

Kansas
(1/18/2025)

RR

Kentucky
(1/18/2025)

RR

Louisiana
(1/18/2025)

RR

Maine
(1/18/2025)

RR

Maryland
(1/18/2025)

RR

Massachusetts
(1/18/2025)

RR

Michigan
(1/18/2025)

RR

Minnesota
(1/18/2025)

RR

Mississippi
(1/18/2025)

RR

Missouri
(1/18/2025)

RR

Montana
(1/18/2025)

RR

Nebraska
(1/18/2025)

RR

Nevada
(1/18/2025)

RR

New Hampshire
(1/18/2025)

RR

New Jersey
(1/18/2025)

RR

New Mexico
(1/18/2025)

RR

New York
(1/18/2025)

RR

North Carolina
(1/18/2025)

RR

North Dakota
(1/18/2025)

RR

Ohio
(1/21/2025)

RR

Oklahoma
(1/18/2025)

RR

Oregon
(1/18/2025)

RR

Pennsylvania
(1/18/2025)

RR

Puerto Rico
(1/18/2025)

RR

Rhode Island
(1/18/2025)

RR

South Carolina
(1/18/2025)

RR

South Dakota
(1/18/2025)

RR

Tennessee
(1/18/2025)

RR

Texas
(1/18/2025)

RR

Utah
(1/18/2025)

RR

Vermont
(1/18/2025)

RR

Virgin Islands
(1/18/2025)

RR

Virginia
(1/18/2025)

RR

Washington
(1/18/2025)

RR

West Virginia
(1/18/2025)

RR

Wisconsin
(1/18/2025)

RR

Wyoming
(1/18/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2003About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 17 — Limited Registered Representative Examination

Passed Oct 2003

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2023About the Series 10 exam

Series 24 — General Securities Principal Examination

Passed Nov 2006About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

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

CRS (Customer Relationship Summary)

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SM

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