Richard Mcarthur Mitchell

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 11/2012 → 08/2019
  Wells Fargo Clearing Services, Llc
  Short Hills, NJ
• 08/2019 → 03/2020
  Ameriprise Financial Services, Inc.
  Montclair, NJ
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Montclair, NJ

Previous Registrations

• 2003-07-01 → 2019-09-03
  Wells Fargo Clearing Services, Llc
  Short Hills, NJ
  Westfield, NJ
  Short Hills, NJ
  Short Hills, NJ
  Short Hills, NJ
• 2002-06-12 → 2003-07-01
  Prudential Equity Group, Llc
  Short Hills, NJ

Other Businesses

Board of Directors; Morris Automated Information Network(M. A. I. N.; Advisor(non voting); 16 Wing Drive, , Cedar Knolls, NJ, 7927; Not Investment-Related; 03/01/2023; 1 to 9 hours per month; 0 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-11-19
• S63 Uniform Securities Agent State Law Examination
  1982-12-06

Designations

• Certified Financial Planner

Other Names

• Dick Mitchell
• Mitch Mitchell