William Theodore Mitchell

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2024-03-21
TX	RA	APPROVED	2006-04-18

WA RA
APPROVED

Since 2024-03-21
TX RA
APPROVED

Since 2006-04-18

Branch Locations

Horseshoe Bay, TX • 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

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)	Austin	TX	04/2006	Present

04/2006 → Present

Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)

Austin, TX

Previous Registrations

2004-07-09 → 2006-04-11

Wells Fargo Investments, Llc

Austin, TX
2003-07-01 → 2004-07-09

Wells Fargo Clearing Services, Llc

Austin, TX
1997-08-08 → 2003-07-01

Prudential Equity Group, Llc

Austin, TX

Other Businesses

1. 4/24/2006 - DBA ONLY - MITCHELL & ASSOCIATES - AUSTIN, TX. 2. 12/05/2023 - Real Estate Rental - Owner - Investment Related - Austin, TX - Start Date 11/01/2023 - 1 Hour Per Month/ 0 Hours During Trading 3 . 03/24/2025 - Mitchell & Associates Wealth Management LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - At Reported Business Location(s) - 120 Hrs/Mth - 120 Hrs During Trading. - Start Date:- 03/11/2025

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-08-11
S63	Uniform Securities Agent State Law Examination	1997-03-11

S65 Uniform Investment Adviser Law Examination

1999-08-11
S63 Uniform Securities Agent State Law Examination

1997-03-11

View on SEC IAPD