Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ann? Claim Your ProfileAnn Doty-mitchell is a financial professional with over 35 years of experience in the industry. Ann is currently registered with Cetera Investment Advisers LLC in California and Wisconsin. Previously, Ann has been employed at various financial institutions, including FIRST ALLIED SECURITIES, INC., SUMMIT BROKERAGE SERVICES, INC., GIRARD SECURITIES, INC., LEGEND EQUITIES CORPORATION, VSR FINANCIAL SERVICES, INC., INVESTORS CAPITAL CORP., CROWELL, WEEDON & CO., RBC CAPITAL MARKETS, LLC, WELLS FARGO ADVISORS, LLC, A. G. EDWARDS & SONS, INC., GRUNTAL & CO., L.L.C., WELLS FARGO SECURITIES INC., CIBC OPPENHEIMER CORP., MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED and CHARLES M. BLAIR & CO., INC. Ann offers financial planning and portfolio management services to individuals, businesses, and retirement plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
10/10/2024 - Present
Cetera Investment Advisers LLC (EL SEGUNDO CA)
CA
02/09/2016 - 09/08/2022
FIRST ALLIED SECURITIES, INC. (EL SEGUNDO CA)
CA
02/09/2016 - 12/03/2019
SUMMIT BROKERAGE SERVICES, INC. (EL SEGUNDO CA)
CA
02/09/2016 - 11/01/2017
GIRARD SECURITIES, INC. (EL SEGUNDO CA)
CA
02/09/2016 - 12/14/2016
LEGEND EQUITIES CORPORATION (El Segundo CA)
CA
02/09/2016 - 11/09/2016
VSR FINANCIAL SERVICES, INC. (el segundo CA)
CA
12/21/2015 - 11/09/2016
INVESTORS CAPITAL CORP. (EL SEGUNDO CA)
CA
07/13/2011 - 07/24/2012
CROWELL, WEEDON & CO. (NEWPORT BEACH CA)
CA
01/13/2010 - 02/03/2011
RBC CAPITAL MARKETS, LLC (BEVERLY HILLS CA)
CA
01/01/2008 - 01/06/2010
WELLS FARGO ADVISORS, LLC (BEVERLY HILLS CA)
CA
10/03/2002 - 01/03/2008
A. G. EDWARDS & SONS, INC. (BEVERLY HILLS CA)
NY
06/14/2000 - 08/15/2001
GRUNTAL & CO., L.L.C. (NEW YORK NY)
CA
02/24/1999 - 06/09/2000
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
08/29/1988 - 06/25/1998
CIBC OPPENHEIMER CORP. (NEW YORK NY)
NA
12/01/1987 - 07/23/1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
NA
09/11/1987 - 10/27/1987
CHARLES M. BLAIR & CO., INC.
NA
04/18/1984 - 08/20/1987
MORGAN, OLMSTEAD, KENNEDY & GARDNER, INCORPORATED
BOTH
Issued 08/09/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/01/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/17/2000
Series 12 - NYSE Branch Manager Examination
BC
Issued 05/01/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/26/1999
Series 24 - General Securities Principal Examination
BC
Issued 04/20/1998
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2007
Series 3 - National Commodity Futures Examination
BC
Issued 08/14/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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