Alice Legan Mitchell

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → 05/2022
  Ubs Financial Services Inc.
  Clearwater, FL
• 05/2022 → Present
  Morgan Stanley Smith Barney Llc
  Tampa, FL

Previous Registrations

• 2012-05-03 → 2022-05-17
  Ubs Financial Services Inc.
  Clearwater, FL
  St. Petersburg, FL
• 2010-11-24 → 2011-09-20
  American Century Advisory Services, Inc.
  Kansas City, MO
• 2008-04-30 → 2008-08-11
  Lpl Financial Llc
  Nashua, NH
  San Diego, CA

Other Businesses

*544931 - Clearwater Blue Foundation Inc; Investment related No; Clearwater, Florida; Civic/Community; Secretary and Board Member (proprietor, partner, officer, director, employee, trustee, agent); 03/2023 ; During business hours: 0; After business hours: 10; Administrative, Accounting/Bookkeeping, Business Development/Growth, Check Signing/Funds Disbursements, Fundraising, Labor/Service, Marketing.

Exams

• S66 Uniform Combined State Law Examination
  2008-04-29

Other Names

• Alice L Gomm
• Alice Legan Gomm
• Alice L Johnson
• Alice Gomm
• Alice Johnson
• Alice Legan Johnson