Derek Jay Mitchell

Employer firm

Prime Capital Financial CRD 288712

$39.1B regulatory AUM 1,816 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• 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

• 05/2009 → 04/2018
  Cambridge Investment Research, Inc
  Fairfield, IA
• 11/2012 → 10/2017
  Lawing Financial Inc
  Overland Park, KS
• 07/2017 → Present
  Prime Capital Investment Advisors, Llc
  Overland Park, KS
• 04/2018 → 12/2021
  Private Client Services
  Louisville, KY

Previous Registrations

• 2012-11-15 → 2017-10-13
  Lawing Financial Inc
  Kansas City, MO
  Overland Park, KS
• 2011-01-18 → 2012-12-31
  Cambridge Investment Research Advisors, Inc.
  Kansas City, MO

Other Businesses

1) SKIN & SCUBA. 9300 EAST 35 ST, INDEPENDENCE, MO 64052. SCUBA SHOP. SCUBA INSTRUCTOR. 15 HOURS/MO; 0 DURING TRADING HOURS. 2) PCRM, LLC doing business as Prime Capital Risk Management, investment-related, 6201 College Blvd., Suite #150, Overland Park, KS 66211, fixed-insurance products, insurance agent, 11/2020, 10hrs./mo., 10 hrs., sale and service of fixed-insurance products, including through non-affiliated Insurance Marketing Organizations (IMOs) 3) CHHSZ HOLDINGS, LLC, INVESTMENT-RELATED, 6201 COLLEGE BLVD SUITE #150, OVERLAND PARK, KS 66211, CHHSZ HOLDINGS, LLC IS A LIMITED LIABILITY COMPANY,"LLC" FORMED IN OCTOBER 2019 UNDER THE LAWS OF THE STATE OF DELWARE. CHHSZ HOLDINGS, LLC IS THE SOLE OWNER OF PRIME CAPITAL INVESTMENT ADVISORS, LLC ("PCIA"), AND FIDUCIARY INVESTMENT TRUST ("FIT"), AFFILIATED FEDERALLY REGISTERED INVESTMENT ADVISER, MEMBER, <1 HOUR PER MONTH, <1 HOUR PER MONTH DURING TRADING HOURS, MEMBER PROVIDES PROFESSIONAL (INVESTMENT ADVISORY) SERVICES AS AN IAR OF PCIA AND COMPLIANCE SERVICES AS CHIEF COMPLIANCE OFFICER OF FIT.

Exams

• S66 Uniform Combined State Law Examination
  2011-01-13
• S63 Uniform Securities Agent State Law Examination
  1993-11-15