AM
Alycia A. Mitchell
DWS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5052435
AM
Professional summary
Alycia Ann Mitchell, who also goes by Alycia Mitchell, Alycia Mitchell-pandey, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Chicago, Illinois.
Alycia is registered as a RR (Registered Representative) and started their career in finance in 2012. Alycia has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alycia Mitchell | Alycia Mitchell-Pandey
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.
Published fiction author under pen name Catherine Knightly. NOT investment-related. Address is same as residential. No activity during trading/business hours.
CRS (Client Relationship Summary) - BD
Click below to view Alycia Ann 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®
NoneExperience
Current
November 2, 2023 - Present
DWS DISTRIBUTORS, INC.
Office #1: 222 South Riverside Plaza, Chicago, IL 60606BD
CRD#: 37306
Chicago, IL
Past
August 31, 2021 - October 6, 2023
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
WHEATON, IL
Past
August 20, 2021 - August 20, 2021
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
WHEATON, IL
Past
June 5, 2020 - August 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROLLING MEADOWS, IL
Past
April 15, 2020 - August 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROLLING MEADOWS, IL
Past
March 7, 2019 - February 24, 2020
MORNINGSTAR INVESTMENT SERVICES LLC
BD
CRD#: 112525
CHICAGO, IL
Past
July 5, 2018 - October 31, 2018
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Chicago, IL
Past
May 21, 2012 - May 16, 2018
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/6/2023)
RR
Alaska(12/11/2023)
RR
Arizona(12/5/2023)
RR
Arkansas(12/7/2023)
RR
California(12/4/2023)
RR
Colorado(12/4/2023)
RR
Connecticut(11/3/2023)
RR
Delaware(12/19/2023)
RR
District of Columbia(12/12/2023)
RR
Florida(11/3/2023)
RR
Georgia(12/4/2023)
RR
Hawaii(12/12/2023)
RR
Idaho(11/3/2023)
RR
Illinois(12/4/2023)
RR
Indiana(12/5/2023)
RR
Iowa(12/4/2023)
RR
Kansas(12/4/2023)
RR
Kentucky(12/5/2023)
RR
Louisiana(1/10/2024)
RR
Maine(1/23/2024)
RR
Maryland(12/8/2023)
RR
Massachusetts(12/5/2023)
RR
Michigan(12/5/2023)
RR
Minnesota(12/1/2023)
RR
Mississippi(12/5/2023)
RR
Missouri(12/4/2023)
RR
Montana(12/5/2023)
RR
Nebraska(12/1/2023)
RR
Nevada(12/8/2023)
RR
New Hampshire(12/11/2023)
RR
New Jersey(12/8/2023)
RR
New Mexico(12/5/2023)
RR
New York(12/6/2023)
RR
North Carolina(12/5/2023)
RR
North Dakota(12/5/2023)
RR
Ohio(12/2/2023)
RR
Oklahoma(12/6/2023)
RR
Oregon(12/4/2023)
RR
Pennsylvania(12/4/2023)
RR
Puerto Rico(11/15/2023)
RR
Rhode Island(12/4/2023)
RR
South Carolina(12/5/2023)
RR
South Dakota(12/5/2023)
RR
Tennessee(12/4/2023)
RR
Texas(12/2/2023)
RR
Utah(12/4/2023)
RR
Vermont(12/4/2023)
RR
Virgin Islands(12/6/2023)
RR
Virginia(12/5/2023)
RR
Washington(12/5/2023)
RR
West Virginia(12/5/2023)
RR
Wisconsin(12/5/2023)
RR
Wyoming(12/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/25/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/25/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
