Tracy W. 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.
Tracy Wayne Mitchell was a registered financial advisor .
Tracy is a previously registered financial advisor and started their career in finance in 2008. Tracy had worked at 4 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2010 - March 2, 2011
GRADIENT ADVISORS, LLC
August 19, 2009 - February 17, 2010
GRADIENT INVESTMENTS, LLC
January 9, 2009 - July 22, 2009
ENVISION INVESTMENT ADVISORS, LLC
September 18, 2008 - December 31, 2008
ENVISION INVESTMENT ADVISORS, LLC
May 15, 2008 - November 5, 2008
REDHAWK WEALTH ADVISORS, INC.
Primary Firm SEC Registration
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,222 |
| AUM (Assets Under Management) | $ 218,611,410 |
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.
