DM
DM
David Mitchell
27 Years of Experience
Falmouth, ME
2 DisclosuresBroker
David Mitchell is a registered investment advisor at Raymond James & Associates, INC., based in Falmouth, ME, with 27 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Falmouth, ME
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Regulatory History (2)
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Regulatory
January 2016Final
Customer Dispute
July 2008Denied
Employment History
Current Registrations
Raymond James & Associates, INC.
June 2013 - Present · 13 yrs 1 mo
Raymond James & Associates, INC.
June 2013 - Present · 13 yrs 1 mo
Raymond James & Associates, INC.Broker
June 2013 - Present · 13 yrs 1 mo
Previous Registrations
Morgan Stanley
June 2009 - July 2013 · 4 yrs 1 mo
Morgan StanleyBroker
June 2009 - July 2013 · 4 yrs 1 mo
Citigroup Global Markets INC.
December 2005 - June 2009 · 3 yrs 6 mos
Citigroup Global Markets INC.Broker
October 1998 - June 2009 · 10 yrs 8 mos
State Registrations22 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.