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Richard Dean Mitchell

LPl Financial LLC

San Diego, CA

Poway, CA

San Diego, CA

Temecula, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-02-29
CA RA APPROVED 2014-08-28
  • TX RA
    APPROVED
    Since 2016-02-29
  • CA RA
    APPROVED
    Since 2014-08-28

Branch Locations

12330 Carmel Mtn Rd Ste C 1, San Diego, CA 92128 • United States

14099 Stowe Dr, Poway, CA 92064 • United States

11965 Bernardo Plaza Ste 169, San Diego, CA 92128 • United States

Temecula, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
San Diego County Credit Union San Diego CA 08/2014 Present
Lpl Financial San Diego CA 08/2014 Present
  • 08/2014 → Present
    San Diego County Credit Union
    San Diego, CA
  • 08/2014 → Present
    Lpl Financial
    San Diego, CA
Previous Registrations
  • 2012-07-23 → 2014-08-13
    Waddell & Reed
    Riverside, CA
    Scottsdale, AZ
    Peoria, AZ
    Torrance, CA
    Scottsdale, AZ
  • 2009-06-30 → 2012-07-24
    Unified Wealth Management, Llc
    Scottsdale, AZ
    Scottsdale, AZ
  • 2008-09-26 → 2008-12-09
    The Planning Group
    Scottsdale, AZ
  • 2006-09-28 → 2008-11-12
    Vanguard Advisers, Inc.
    Scottsdale, AZ
Other Businesses

(1) 01/09/2015 - SDCCU INVESTMENT SERVICES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME SPENT 160 HOURS PER MONTH - SAN DIEGO, CA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-07
S63 Uniform Securities Agent State Law Examination 2001-07-30
  • S66 Uniform Combined State Law Examination
    2008-11-07
  • S63 Uniform Securities Agent State Law Examination
    2001-07-30
Designations
Other Names
  • Rick Mitchell
  • Richard Dean Mitchell
  • Richard Dean Mitchell

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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