Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you R mitchell? Claim Your ProfileR. Mitchell Wickham is an investment advisor representative and has been in the industry since 1999. R. Mitchell Wickham is currently registered with UBS Financial Services Inc. in North Carolina, Pennsylvania and Texas. Prior to that, R. Mitchell Wickham was registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in North Carolina. R. Mitchell Wickham has passed the Series 7, Series 31, Series 65 and Series 66 exams. R. Mitchell Wickham's professional experience is in the following areas: Portfolio Management for Individuals, Portfolio Management for Businesses, Financial Planning, Selection of Other Advisers, Publication of Periodicals, Educational Seminars and Pension Consulting. R. Mitchell Wickham also holds an active license for the state of North Carolina as an investment advisor representative.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NC
04/20/2020 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
07/08/1999 - 01/21/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
IA
Issued 07/12/2002
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/30/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 07/07/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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