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Clay Grant Mitchell

Charles Schwab & CO., Inc.

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About Clay Grant Mitchell

Clay Mitchell is a financial professional with over 15 years of experience in the financial services industry. Clay is a Chartered Financial Analyst (CFA) and holds a Series 7, 6, 63 and 66 licenses. Clay is currently registered with Charles Schwab & Co., Inc. and is actively licensed in all 50 states. Clay's prior experience includes roles at Foreside Fund Services, LLC, TIAA-CREF Individual & Institutional Services, LLC, Janus Distributors LLC and Old Mutual Investment Partners. Clay has experience in providing financial planning and investment advice to individuals and families.

Firm Information

Clay Mitchell is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Clay Mitchell’s Registration & Firm History

CO

08/31/2021 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

CO

05/12/2011 - 04/20/2021

FORESIDE FUND SERVICES, LLC (DENVER CO)

CO

12/09/2010 - 04/25/2011

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)

CO

02/19/2010 - 04/05/2010

JANUS DISTRIBUTORS LLC (DENVER CO)

CO

05/20/2005 - 07/27/2009

OLD MUTUAL INVESTMENT PARTNERS (DENVER CO)

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Licenses & Designations

BOTH

Issued 05/19/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/30/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/14/2006

Series 7 - General Securities Representative Examination

BC

Issued 05/19/2005

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Clay Grant Mitchell.
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