NM
Nicholas D. Mitchell
TRANSAMERICA FINANCIAL ADVISORS
New Smyrna Beach, FL 32168
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CRD#: 6703127
NM
Professional summary
Nicholas D Mitchell, who also goes by Nicholas D. Mitchell, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in New Smyrna Beach, Florida.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Nicholas has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas D. Mitchell
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 | WFGIA Co-Brand Company | Marketing | yes investment related | 03/2016 | Cincinnati, OH Pinnacle Financial Services /0122-Present / Investment Related: Yes / 65 W Street Rd. A-101 Warminster, PA 18974 / Medicare Sales Rep / Selling Medicare Product / Hrs. Work Monthly: 20 / Sec Trading Hrs: 1 / Selling Medicare MAINE BUSINESS RETREAT LLC; 9/19/2016; MEMBER; INVESTMENT RELATED- YES; 75 RIOUX LANE SURRY ME 04684; PLANNING TO PUT CABINS ON PROPERTY; HOURS 0; APPROVED WITH RESTRICTIONS FIVE C PROPERTIES LLC; 10/29/2018; MEMBER; INVESTMENT RELATED- YES; 11421 CHESTER RD CINCINNATI OH 45246; HOURS 0; A RENTAL PROPERTY; APPROVED WITH RESTRICTIONS Camp Nokomis Maine, LLC/Yes/11972 Grandstone Lane/Cincinnati/OH/45249/No business, it is a family property/Member/09.09.2016/0/0/None. WILLIAM F. MITCHELL LLC/NO/11972 GRANDSTONE LANE, CINCINNATI, OH 45249/ADMINISTRATIVE SERVICES/BUSINESS MANAGER/01.16.2017/80/4/ASSIST IN DAILY ADMINISTRATIVE OFFICE ACTIVITIES. New Horizons Real Properties, LLC; Investment Related/Yes; 11421 Chester Road Cincinnati, OH 45246; Member; Monthly hours 0; Hours during securities trading 0; no duties I am just a member Net Law Group Inc. / 0720-Present /Investment Related: No/ 12910 Shelbyville Rd. Suite 124 Louisville, KY 40243/None / Online Doc. prep. Service / Hrs Work: 1 Sec trading Hrs: 1 / None NDM SERVICES / INVESTMENT RELATED: NO / 4164 EDDYSTONE DRIVE CINCINNATI OH 45251 / HOURS PER MONTH: 1 / HOURS DURING SECURITIES TRADING HOURS: 0 / NO DUITES; USED TO PAY BUSINESS EXPENSES / APPROVED WITH RESTRICTIONS CHANCE-FOR-ALL PROPERTIES, LLC POSITION: Passive 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 45246, United States DESCRIPTION: None, passive member.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas D Mitchell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas D 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
February 2, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 209 Downing St. , New Smyrna Beach, FL 32168RIA
BD
CRD#: 16164
New Smyrna Beach, FL
Current
September 7, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 209 Downing St. , New Smyrna Beach, FL 32168RIA
BD
CRD#: 16164
New Smyrna Beach, FL
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
Arizona(1/6/2020)
RR
California(3/28/2017)
RR
Colorado(2/19/2020)
RR
Connecticut(6/18/2019)
RR
Delaware(4/14/2020)
RR
District of Columbia(3/12/2020)
RR
Florida(7/30/2019)
IAR
Florida(2/28/2024)
RR
Georgia(9/23/2020)
RR
Hawaii(8/26/2020)
RR
Idaho(6/2/2020)
RR
Indiana(6/18/2019)
RR
Iowa(7/30/2019)
RR
Kansas(5/21/2020)
RR
Kentucky(6/18/2019)
RR
Maine(6/19/2019)
RR
Maryland(6/18/2019)
RR
Massachusetts(6/18/2019)
RR
Michigan(6/18/2019)
RR
Mississippi(5/21/2020)
RR
Missouri(4/14/2020)
RR
Nebraska(6/2/2020)
RR
Nevada(1/6/2020)
IAR
Nevada(3/3/2022)
RR
New Hampshire(6/18/2019)
RR
New Jersey(4/30/2018)
IAR
New Jersey(7/31/2020)
RR
New Mexico(2/19/2020)
RR
New York(3/18/2020)
RR
North Carolina(1/13/2020)
IAR
North Carolina(3/12/2020)
RR
North Dakota(10/28/2019)
RR
Ohio(9/8/2016)
IAR
Ohio(2/2/2017)
RR
Pennsylvania(7/2/2019)
RR
Rhode Island(3/17/2020)
RR
South Carolina(5/8/2020)
RR
South Dakota(8/27/2019)
RR
Texas(4/30/2018)
IAR
Texas(4/30/2018)
RR
Utah(1/6/2020)
RR
Vermont(6/2/2020)
RR
Virginia(7/6/2022)
RR
Washington(6/2/2020)
RR
West Virginia(1/27/2020)
RR
Wisconsin(6/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
