JM
CFA
JM
CFA

James Mitchell

23 Years of Experience
Little Rock, AR
Broker

James Mitchell is a CFA-designated registered investment advisor at Capital Client Group, INC., based in Little Rock, AR, with 23 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.

Compensation
N/A
Firm Size
583 advisors
IM Fee
Planning only

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

Little Rock, AR

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

James is a member of Iris Properties, LLC, created for passive real estate investing, since March 2017. He does not expect to devote any hours to this LLC during securities trading hours, and the business is not investment-related.

Employment History
Current Registrations
Capital Client Group, INC.
April 2013 - Present · 13 yrs 1 mo
Capital Client Group, INC.Broker
June 2007 - Present · 18 yrs 11 mos
Previous Registrations
Federated Investment Counseling
January 2003 - May 2007 · 4 yrs 4 mos
Federated Securities CORP.Broker
October 2002 - May 2007 · 4 yrs 7 mos
State Registrations34 states
ARAZCACODCFLGAIAIDILINKSKYLAMAMIMNMOMSMTNCNDNVNYOHOKPASCSDTNTXUTWIWY
AdvisorBroker

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.