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Raymond Cecil Mitchell

Transamerica Financial Advisors, LLC

Cullman, AL

CRD 1580420

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Employer firm

Transamerica Financial Advisors, LLC CRD 16164

$2.11B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Selection of other advisers

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

Current Employers
Transamerica Financial Advisors, Llc

Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2012-01-06
  • AL RA
    APPROVED
    Since 2012-01-06

Branch Locations

214 2Nd Avenue S.E., Cullman, AL 35055 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wfg Cullman AL 06/2001 Present
Black Cypress Hunting Club Shaw MS 10/2008 Present
Transamerica Financial Advisors, Llc Cullman AL 01/2012 Present
Wealthwave Cullman AL 01/2016 Present
  • 06/2001 → Present
    Wfg
    Cullman, AL
  • 10/2008 → Present
    Black Cypress Hunting Club
    Shaw, MS
  • 01/2012 → Present
    Cullman, AL
  • 01/2016 → Present
    Wealthwave
    Cullman, AL
Previous Registrations
  • 2008-11-18 → 2012-01-06
    Investment Advisors International, Inc.
    Cullman, AL
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. BLACK CYPRESS HUNTING CLUB/NO/SHAW, MS/COLLECTING DUES-10/25/08/IN CHARGE OF COLLECTING DUES AND PAYING LEASE5/5/THIS IS A DUCK HUNTING LEASE OF APPROX 2200 ACRES AND LODGE IT HAS 8 MEMBERS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-08-19
S63 Uniform Securities Agent State Law Examination 1998-08-07
  • S65 Uniform Investment Adviser Law Examination
    2008-08-19
  • S63 Uniform Securities Agent State Law Examination
    1998-08-07

View on SEC IAPD

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