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Detailed Report
JAMES PETER MITCHELL
JAMES P MITCHELL, JAMES PETE MITCHELL, PETE MITCHELL
CRD#: 4997315
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3500 Colonnade Parkway
Suite 200
Birmingham, AL 35243
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2023 (17 years)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Alabama 5/19/2023
B
Minnesota 5/19/2023
IA
Alabama 5/19/2023
B
Mississippi 5/19/2023
B
California 5/19/2023
B
Missouri 5/19/2023
B
District of Columbia 6/2/2023
B
New York 8/15/2024
B
Florida 5/19/2023
B
North Carolina 5/19/2023
B
Georgia 5/19/2023
B
Oregon 6/21/2023
B
Illinois 5/19/2023
B
Pennsylvania 6/21/2023
B
Indiana 6/2/2023
B
Tennessee 5/19/2023
B
Maryland 6/1/2023
B
Texas 5/19/2023
B
Massachusetts 5/19/2023
IA
Texas 5/19/2023
B
Michigan 6/5/2023
B
Virginia 5/19/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
3500 Colonnade Parkway Suite 200, Birmingham, AL 35243
Registered with this firm since 5/19/2023
B
MORGAN STANLEY (CRD#:149777)
3500 Colonnade Parkway Suite 200, Birmingham, AL 35243
Registered with this firm since 5/19/2023
Previous Registration(s)
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IA
 10/14/2005 - 05/22/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BIRMINGHAM, AL
B
 09/15/2005 - 05/22/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BIRMINGHAM, AL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.