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Thomas Edward Mitchell

LPl Financial LLC

Phoenix, AZ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2017-11-07
TX RA APPROVED 2017-11-03
  • AZ RA
    APPROVED
    Since 2017-11-07
  • TX RA
    APPROVED
    Since 2017-11-03

Branch Locations

2355 W. Pinnacle Peak Rd, Phoenix, AZ 85027 • 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
American Airlines Fort Worth TX 01/2015 10/2017
Cetera Investment Services Llc St Cloud MN 01/2015 10/2017
Cetera Investment Advisers Llc Fort Worth TX 01/2015 10/2017
Oneaz Credit Union Phoenix AZ 10/2017 Present
Lpl Financial Llc Phoenix AZ 11/2017 Present
  • 01/2015 → 10/2017
    American Airlines
    Fort Worth, TX
  • 01/2015 → 10/2017
    Cetera Investment Services Llc
    St Cloud, MN
  • 01/2015 → 10/2017
    Fort Worth, TX
  • 10/2017 → Present
    Oneaz Credit Union
    Phoenix, AZ
  • 11/2017 → Present
    Phoenix, AZ
Previous Registrations
  • 2014-01-21 → 2017-10-20
    Gilbert, AZ
    Fort Worth, TX
  • 2002-11-04 → 2014-01-21
    Cetera Investment Services Llc
    Delmar, MD
    Dagsboro, DE
    Rehdboth Beach, DE
    Salisbury, MD
    Salisbury, MD
    Salisbury, MD
    Salisbury, MD
    Seaford, DE
    Laurel, DE
    Oakland, MD
    Frederick, MD
    Cumberland, MD
    Mchenry, MD
    Martinsburg, WV
    Hagerstown, MD
    Martinsburg, WV
    Morgantown, WV
    Parkersburg, WV
    Hudson, MI
    New York, NY
    New York, NY
    St. Cloud, MN
    Salisbury, MD
    St Cloud, MN
    Wyomissing, PA
    East Brunswick, NJ
    Hillsborough, NJ
    Memphis, TN
    North Wales, PA
    Schiller Park, IL
    Fort Worth, TX
    St Cloud, MN
    Euless, TX
    Chicago, IL
    Southlake, TX
    Jamaica, NY
Other Businesses

1) 11/01/2017 - OneAZ Wealth Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-11-19
S63 Uniform Securities Agent State Law Examination 1983-01-31
  • S65 Uniform Investment Adviser Law Examination
    1996-11-19
  • S63 Uniform Securities Agent State Law Examination
    1983-01-31
Designations
Other Names
  • Thomas Edward Mitchell

View on SEC IAPD

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