Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Allen Mitchell is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in Tampa, Florida. Douglas has been in the financial services industry since 2007 and has earned both Series 6 and Series 63 licenses. Douglas also holds both Series 9 and Series 10 registrations. Douglas has been employed with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2014. Prior to working with Merrill Lynch, Pierce, Fenner & Smith Inc. Douglas was employed with Wells Fargo Advisors, LLC from 2007 to 2012.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
09/21/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TAMPA FL)
FL
05/10/2011 - 06/20/2012
WELLS FARGO ADVISORS, LLC (SPRING HILL FL)
FL
02/28/2007 - 02/09/2010
WELLS FARGO ADVISORS, LLC (SPRING HILL FL)
BOTH
Issued 01/02/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/02/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/15/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/09/2019
Series 7TO - General Securities Representative Examination
BC
Issued 05/24/2019
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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