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James Francis Mitchell

Seaport Global Securities LLC

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About James Francis Mitchell

James Francis Mitchell is a financial advisor with over 20 years of experience in the industry. James is currently registered with Seaport Global Securities LLC. James is a Series 7, 24, 63, 86, and 87 licensed professional. James also holds the SIE designation. James has a proven track record of success in helping clients achieve their financial goals. Previously, James worked at The Buckingham Research Group Incorporated, Putnam Lovell NBF Securities Inc. and UBS Warburg LLC.

Firm Information

James Mitchell is currently registered with Seaport Global Securities LLC. Seaport Global Securities LLC is a Limited Liability Company formed in 2001 and is approved in 52 states and the District of Columbia. They are registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

92

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.

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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James Mitchell’s Registration & Firm History

CA

05/26/2020 - Present

Seaport Global Securities LLC (Costa Mesa CA)

NY

11/11/2003 - 03/24/2020

THE BUCKINGHAM RESEARCH GROUP INCORPORATED (NEW YORK NY)

NY

06/05/2000 - 09/30/2003

PUTNAM LOVELL NBF SECURITIES INC. (NEW YORK NY)

NY

09/10/1996 - 05/23/2000

UBS WARBURG LLC (NEW YORK NY)

CT

06/18/1998 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

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Licenses & Designations

BC

Issued 08/18/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/10/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/28/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 09/09/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Francis Mitchell.
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