Gretchen J. 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.
Gretchen Jean Mitchell, who also goes by Gretchen Jean Kishiyama Mrs, Gretchen J Mitchell, Gretchen Jean Mitchell Ms, Gretchen Mitchell, Gretchen Morse, was a registered financial professional .
Gretchen is a previously registered financial professional and started their career in finance in 2008. Gretchen had worked at 9 firms and has passed the Series 66, 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
November 15, 2021 - December 5, 2022
J. ALDEN ASSOCIATES, INC.
July 20, 2017 - February 12, 2019
CETERA INVESTMENT ADVISERS LLC
July 13, 2017 - February 12, 2019
CETERA INVESTMENT SERVICES LLC
January 28, 2016 - November 28, 2016
EVERBANK WEALTH MANAGEMENT
December 7, 2015 - November 28, 2016
EVERTRADE DIRECT BROKERAGE, INC.
August 25, 2014 - October 22, 2015
BBVA SECURITIES INC.
March 8, 2013 - July 9, 2014
LPL FINANCIAL LLC
January 29, 2013 - July 9, 2014
LPL FINANCIAL LLC
October 11, 2010 - April 4, 2012
TRUIST INVESTMENT SERVICES, INC.
October 4, 2010 - April 4, 2012
TRUIST INVESTMENT SERVICES, INC.
January 9, 2009 - September 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
September 16, 2008 - September 23, 2010
WELLS FARGO CLEARING 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
Current Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
Red Flags
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