Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Mitchell is a financial advisor with over 25 years of experience in the industry. William is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Charlotte, NC. William is a Series 7, 24, 63 and 65 licensed advisor and offers a variety of services including portfolio management for individuals and businesses, pension consulting, financial planning and educational seminars. Previously, William was a registered representative with Southeast Investments, N.C., Inc. from 1997 to 2012, Corporate Securities Group, Inc. from 1997 to 1997 and RM Stark & Co Inc. from 1996 to 1997. William is also a registered representative with Dickinson & Co. from 1994 to 1996 and F.N. Wolf & Co., Inc. from 1994 to 1994.
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
NC
09/06/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
09/30/1997 - 10/08/2012
SOUTHEAST INVESTMENTS, N.C., INC. (CHARLOTTE NC)
MO
01/29/1997 - 09/22/1997
CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)
FL
11/01/1996 - 01/22/1997
RM STARK & CO INC. (LAKE WORTH BEACH FL)
IA
07/08/1994 - 10/25/1996
DICKINSON & CO. (DES MOINES IA)
NA
06/23/1994 - 08/02/1994
F.N. WOLF & CO., INC.
BC
Issued 11/10/2014
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/09/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/1994
Series 7 - General Securities 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
Not sure William Mitchell is the right advisor for you? Invested Better is here to help.
