Travis R. Mitchen

CETERA INVESTMENT ADVISERS LLC

DENVER, CO

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CRD#: 5410627

Professional summary

Travis Roy Mitchen, who also goes by Travis R Mitchen, Travis Mitchen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Denver, Colorado and CETERA WEALTH SERVICES, LLC located in Denver, Colorado.

Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Travis has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Travis R Mitchen | Travis Mitchen

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.

1) OZARK FINANCIAL GROUP, LLC. POSITION: Manager NATURE: Financial services firm, selling investment products, generating financial plans for clients, reviewing clients assets and adjusting them as needed. INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 10/04/2023 ADDRESS: 132 Walnut Circle, Yellville AR 72687, United States DESCRIPTION: Conducting client meetings and financial plans, monitoring client portfolios, reviewing client finances, managing retirement accounts 2) MITCHEN WEALTH MANAGEMENT POSITION: Associate NATURE: Mitchen Wealth Management functions as the parent BD and my entity Ozark Financial Group is under their umbrella. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/18/2024 ADDRESS: 4757 Millwood Dr, Baton Rouge LA 70817, United States DESCRIPTION: None

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Travis Roy Mitchen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DENVER, CO

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Denver, CO

Past

October 26, 2023 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Denver, CO

Past

October 26, 2023 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Denver, CO

Past

June 2, 2023 - September 27, 2023

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

YELLVILLE, AR

Past

April 13, 2023 - September 27, 2023

PARK AVENUE SECURITIES LLC

CRD#: 46173

YELLVILLE, AR

Past

September 25, 2020 - February 3, 2023

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Baton Rouge, LA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arkansas
(9/5/2025)

Colorado
(9/5/2025)

IAR

Colorado
(9/5/2025)

Louisiana
(9/5/2025)

Mississippi
(9/5/2025)

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/27/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/25/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/22/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Travis R. Mitchen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Travis Roy Mitchen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/27/2023

Series 7TO

Date: 9/25/2020

SIE

Date: 5/22/2020

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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