Nicholas D Mitchell
Investment Adviser Representative at Transamerica Financial Advisors, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nicholas D. Mitchell is an investment adviser representative with Transamerica Financial Advisors, LLC in New Smyrna Beach, FL, where they have been registered since 2017. They have worked in the securities industry since 2016. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Florida, Nevada, New Jersey, North Carolina, Ohio, and Texas.
Registrations & licenses
- Investment adviser:
- Florida, Nevada, New Jersey, North Carolina, Ohio, Texas
- Broker:
46 states and territories
Alabama, Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Transamerica Financial Advisors, IncSep 2016 – no end date reportedNew Smyrna Beach, FL
- WfgiaMar 2016 – no end date reportedNew Smyrna Beach, FL
- LIMEAug 2013 – Dec 2016Los Angeles, CA
- Camp Nokomis Maine, LLCSep 2016 – no end date reportedCincinnati, OH
- William F. Mitchell LLCJan 2017 – no end date reportedCincinnati, OH
- FIVE C Properties LLCOct 2018 – no end date reportedCincinnati, OH
- Maine Business Retreat LLCSep 2016 – no end date reportedSurry, ME
- NEW Horizons REAL Properties, LCCMay 2019 – no end date reportedCincinnati, OH
- Net Law Group Inc.Jul 2020 – no end date reportedLouisville, KY
- NDM ServicesFeb 2021 – no end date reportedCincinnati, OH
- Pinnacle Financial ServicesJan 2022 – no end date reportedWarminster, PA
- WealthWaveMar 2016 – no end date reportedCincinnati, OH
- Chance-for-all Properties, LLCDec 2020 – no end date reportedCincinnati, OH
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Transamerica Financial Advisors, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,109
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Philadelphia, PA
- SEC file number:
- 801-38618
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicholas D Mitchell has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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