Daniel A. Mitchell

FIORILE & ASSOCIATES

SARANAC LAKE, NY 12983

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CRD#: 6014228

Professional summary

Daniel A Mitchell is a registered financial advisor currently at FIORILE & ASSOCIATES, LLC located in Saranac Lake, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Daniel has worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

BURNS MANAGEMENT. NOT INVESTMENT RELATED. 9 HAMPSTEAD PLACE, SARATOGA SPRINGS, NY 12866. RESIDENTIAL APARTMENT LEASING. LEASING CONSULTANT. START 02/2021. 160 HOURS/MONTH DURING SECURITIES TRADING HOURS. RENTING RESIDENTIAL APARTMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel A Mitchell'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

June 23, 2023 - Present

FIORILE & ASSOCIATES, LLC

Office #1: 126 Kiwassa Road, Saranac Lake, NY 12983

RIA

CRD#: 158733

SARANAC LAKE, NY

Past

May 19, 2022 - December 31, 2022

FIORILE & ASSOCIATES, LLC

RIA

CRD#: 158733

SARANAC LAKE, NY

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.

Highlighted states indicate IAR registrations

IAR

New York
(6/23/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/8/2022

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 11/27/2021

Securities Industry Essentials Examination

Current Firm

FIORILE & ASSOCIATES, LLC

CRD#: 158733 / SEC#: 801-128213

RIA

Registered Investment Advisory firm - (3/6/2025 Terminated)

New York

Registered Investment Advisory firm - (3/5/2025 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

126 Kiwassa Road, Saranac Lake, NY 12983

Mailing Address

P.o. Box 1295, Saranac Lake, NY 12983

Phone number

(518) 891-3290

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE SUPPLEMENT: JOSEPH FIORILE (2/21/2025)

FIRM BROCHURE: FIORILE & ASSOCIATES, LLC (2/21/2025)

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 24,500,000

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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Daniel A. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel A Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIORILE & ASSOCIATES, LLC

FIORILE & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/8/2022

SIE

Date: 11/27/2021

Current Firm

FIORILE & ASSOCIATES, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIORILE & ASSOCIATES, LLC

TRUST BUT VERIFY

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