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Monte D Mitchell

Morgan Stanley

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About Monte D Mitchell

Monte D. Mitchell is a financial advisor with over 30 years of experience in the financial services industry. Monte is currently registered with Morgan Stanley and has held previous positions at E*TRADE SECURITIES LLC, ASCENSUS BROKER DEALER SERVICES, LLC, TD AMERITRADE, INC., MML INVESTORS SERVICES, LLC, QUASAR DISTRIBUTORS, LLC, CHARLES SCHWAB & CO., INC., PRINCOR FINANCIAL SERVICES CORPORATION, NATIONWIDE FUND DISTRIBUTORS LLC, SEI INVESTMENTS DISTRIBUTION CO., LIBERTY FUNDS DISTRIBUTOR, INC., CRABBE HUSON SECURITIES, INC., and SMITH BARNEY INC.

Firm Information

Monte Mitchell is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

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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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

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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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Monte Mitchell’s Registration & Firm History

UT

05/02/2024 - Present

Morgan Stanley (Sandy UT)

UT

01/06/2021 - 09/05/2023

E*TRADE SECURITIES LLC (SANDY UT)

MA

03/18/2020 - 10/01/2020

ASCENSUS BROKER DEALER SERVICES, LLC (NEWTON MA)

OR

06/12/2017 - 05/22/2018

TD AMERITRADE, INC. (PORTLAND OR)

OR

04/19/2017 - 06/01/2017

MML INVESTORS SERVICES, LLC (LAKE OSWEGO OR)

ME

04/27/2012 - 04/06/2015

QUASAR DISTRIBUTORS, LLC (PORTLAND ME)

TX

11/03/2008 - 06/28/2010

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

IA

09/14/2007 - 09/19/2008

PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)

OR

07/26/2002 - 08/31/2007

NATIONWIDE FUND DISTRIBUTORS LLC (PORTLAND OR)

PA

06/26/2000 - 12/05/2001

SEI INVESTMENTS DISTRIBUTION CO. (OAKS PA)

MA

10/16/1998 - 05/15/2000

LIBERTY FUNDS DISTRIBUTOR, INC. (BOSTON MA)

OR

08/16/1996 - 09/24/1998

CRABBE HUSON SECURITIES, INC. (PORTLAND OR)

NY

10/21/1993 - 08/02/1995

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 04/28/2024

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/05/1993

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 10/29/1993

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/22/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/04/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Monte D Mitchell.
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