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David I. Mitchell

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CRD#: 6473847
DM

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.

David Ivor Mitchell was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2015. David had worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
I*113414 For profit or not for profit: Non-Profit Organization Name of outside business organization: Two Wheel Jones Club and RaceTeam Investment related: N Address of business: Mesa, Arizona 85215 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 4/2/2018 Number of hours devoted: 3 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: One of the board members for our local cycling club and race team. Local bike shop recently started hosting events to grow the interest in the sport, promote fitness and youth development. Group decided to form a separate 501c for those efforts

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 22, 2022 - May 31, 2024

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA
CRD#: 110921
Tampa, FL
Past

February 12, 2020 - October 29, 2021

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Phoenix, AZ
Past

February 12, 2020 - October 29, 2021

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Phoenix, AZ
Past

January 11, 2016 - December 26, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHANDLER, AZ
Past

November 5, 2015 - December 26, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHANDLER, AZ

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".
E&
ERNST & YOUNG INVESTMENT ADVISERS LLP
ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA
Registered Investment Advisory firm - (4/7/1995 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/6/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/17/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/17/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/17/2024
General Securities Sales Supervisor - Options Module Examination

Current Firm

E&
ERNST & YOUNG INVESTMENT ADVISERS LLP
ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA
Registered Investment Advisory firm - (4/7/1995 Approved)
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Contact information

Main Address
200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094
Mailing Address
Phone number
(800) 273-0588
Established
Firm type
Fiscal year end
# of Employees
140

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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.

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

CRD#: 110921

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