MM
Marcus H. Mitchell
TRANSAMERICA FINANCIAL ADVISORS
Cincinnati, OH 45246
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CRD#: 6596143
MM
Professional summary
Marcus H. Mitchell is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Cincinnati, Ohio.
Marcus is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Marcus has worked at 1 firm and has passed the Series 63, Series 6TO 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Wealthwave | marketing | yes investment related | 10/2017 | Cincinnati OH | co-brand company MAINE BUSINESS RETREAT, LLC/Investment Related - Yes/75 Rioux Lane Surry, ME 04684 /Rental property. It is just land. We are not renting it. We plan on putting cabins on it at a later date./Manager/04.2016/2/0/Paying the bills, and oversee the properties. CAMP NOKOMIS, LLC/Investment Related - Yes/75 Rioux Lane Surry, ME 04684/Real Estate. It is for business retreats. Not currently renting, but will be rented on AirBNB in the future./Manager/09.2016/2/0/Paying Bills. Overseeing the property. FIVE C PROPERTIES, LLC/Investment Related - Yes/11421 Chester Road Cincinnati, OH 45246/Real Estate. Single family rental homes./Manager/06.2018/2/0/Paying Bills. Overseeing the properties. WILLIAM F. MITCHELL, LLC/Investment Related - No/11972 Grandstone Lane Cincinnati, OH 45249 513-373-1983/Administration/Administrator/05.2007/40/40/Administrative duties New Horizons, LLC/Yes/4164 Eddystone Dr. Cincinnati, OH 45251; Member; 1/01/2018; Rental Property; 0 hrs/month; 0 hrs during sec. trading; no duties;approved with restrictions CHANCE FOR ALL, LLC POSITION: Managing Member NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/16/2020 ADDRESS: 11421 Chester Road, Cincinnati OH 45249, United States DESCRIPTION: I spend roughly 1 hour a month on this outside of business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Marcus H. Mitchell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marcus H. Mitchell's 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®
NoneExperience
Current
May 1, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11421 Chester Road, Cincinnati, OH 45246RIA
BD
CRD#: 16164
Cincinnati, OH
Current
March 13, 2020 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11421 Chester Road, Cincinnati, OH 45246RIA
BD
CRD#: 16164
Cincinnati, OH
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Alabama(6/4/2020)
RR
Georgia(5/20/2020)
RR
Illinois(4/24/2020)
RR
Indiana(4/24/2020)
RR
Kentucky(4/24/2020)
RR
Louisiana(6/4/2020)
RR
Maine(6/4/2020)
RR
Maryland(5/20/2020)
RR
Michigan(4/24/2020)
RR
Minnesota(5/20/2020)
IAR
Ohio(5/1/2019)
RR
Ohio(3/13/2020)
RR
Pennsylvania(4/24/2020)
RR
Rhode Island(6/4/2020)
RR
Tennessee(3/3/2022)
RR
Virginia(5/20/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/13/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Cincinnati, OH 45246TRUST BUT VERIFY
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