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Detailed Report
Gina M Mitchell
Gina Maria Leslie, Gina Maria Mitchell
CRD#: 7420063
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 COWBOYS WAY
FRISCO, TX 75034
Registration History
202220232024202520262 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (2 years)
License(s)

State Registrations

B
Arkansas 4/11/2023
B
New Mexico 4/11/2023
B
Colorado 4/11/2023
B
Oklahoma 4/11/2023
B
Florida 4/11/2023
B
Tennessee 3/11/2024
B
Louisiana 4/11/2023
B
Texas 3/23/2023
B
New Jersey 3/1/2024
IA
Texas 3/23/2023

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 COWBOYS WAY, FRISCO, TX 75034
Registered with this firm since 3/23/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 COWBOYS WAY, FRISCO, TX 75034
Registered with this firm since 3/23/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/10/2022 - 01/06/2023 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) WESTLAKE, TX
B
 01/11/2022 - 01/04/2023 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) WESTLAKE, TX
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.