Brian Wayne Mitchell

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
OK	RA	APPROVED	2024-01-08
TX	RA	APPROVED_RES	2017-10-18

OK RA
APPROVED

Since 2024-01-08
TX RA
APPROVED_RES

Since 2017-10-18

Branch Locations

Tulsa, OK • 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

Organization	City	State	From	To
Wunderlich Securities	Memphis	TN	12/2012	10/2017
Lpl Financial, Llc	Tulsa	OK	10/2017	Present

12/2012 → 10/2017

Wunderlich Securities

Memphis, TN
10/2017 → Present

Lpl Financial, Llc

Tulsa, OK

Previous Registrations

2012-12-17 → 2017-11-13

B. Riley Wealth Management

Memphis, TN

Tulsa, OK
2009-02-27 → 2012-12-17

Sanders Morris Llc

Tulsa, OK
1993-12-07 → 2009-03-23

Citigroup Global Markets Inc.

Tulsa, OK

Tulsa, OK

Other Businesses

1. 10/17/2017 - BRIFORD ENTERPRISES/ BUSINESS OWNER/ 1%/ TULSA, OK

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-11-09
S63	Uniform Securities Agent State Law Examination	1987-08-19

S65 Uniform Investment Adviser Law Examination

1993-11-09
S63 Uniform Securities Agent State Law Examination

1987-08-19

Other Names

Brian Mitchell

View on SEC IAPD