Susan E. Mitchell, CFP (inactive)
(317) 409-0453
Sue Mitchell was a Certified Financial Planner and has served in the financial industry for over 35 years. Over 30 of those years have been focused primarily in the areas of regulatory compliance for SEC and state registered investment advisory firms and trust companies. Additional areas of responsibility have included supervisory duties for trading, investment implementation and client services personnel and departments. After serving for years advising clients in areas of portfolio structure and ongoing monitoring, Sue made the decision to use her direct client experience to develop and implement regulatory policies that are more realistic to the everyday challenges of running a client service business.
Regulatory exams under the oversight of Sue have never produced significant findings.
Independent Regulatory Compliance Services – 2017-current
Oxford Financial Group, Ltd - 1998-2016
Vice President and Chief Compliance Officer for Oxford and The Trust Company of Oxford
Shareholder and Secretary to the Boards for Oxford and TCO
Director of Client Services, which entailed direct responsibility for trading, implementation and client service personnel and departments
Member of the Operations Management Committee, Senior Leadership Team, Risk Committee, Executive Committee of The Trust Company of Oxford, and the Information and Communications (IAC) committee
Facilitated and coordinated the efforts and responses for seven SEC exams, one department of labor exam, six IN Secretary of State exams, and 9 Indiana Department of Financial Institutions exams. All of which found no significant areas of deficiency.
2002 CEO Salute Award – highest honor awarded at Oxford
Recipient of multiple Associate of the Year and Month Awards
Prior to Oxford Financial Group, Ltd
Started career with a large east coast brokerage firm.
Participated in the start-up of four firms: a dual registrant and RIA fee-only firms.
Registered Sales Assistant and Compliance Officer, obtained Pennsylvania insurance licenses, FINRA’s series 7, 24, 63 and 65, and certified financial planner designation.