James M. 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.
James M Mitchell, who also goes by James Michael Mitchell, James Mitchell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2007. James had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7TO, Series 55 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
July 21, 2021 - June 9, 2022
SUTTER SECURITIES INCORPORATED
April 19, 2017 - May 3, 2017
B. RILEY WEALTH ADVISORS, INC.
April 10, 2017 - May 3, 2017
NATIONAL SECURITIES CORPORATION
February 5, 2014 - July 1, 2015
WEDBUSH SECURITIES INC.
February 4, 2014 - July 1, 2015
WEDBUSH SECURITIES INC.
September 28, 2011 - October 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2011 - October 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2009 - March 3, 2010
TD AMERITRADE, INC.
June 17, 2009 - March 3, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 8, 2009 - March 3, 2010
TD AMERITRADE, INC.
May 5, 2008 - September 3, 2008
J.P. TURNER & COMPANY, L.L.C.
October 11, 2007 - April 7, 2008
J.P. TURNER & COMPANY, L.L.C.
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
Series 7TO
Date: 7/21/2021
General Securities Representative ExaminationSeries 55
Date: 5/2/2014
Limited Representative-Equity Trader ExamCurrent Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 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.
