Miriam R. Black
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Miriam Rebecca Black, who also goes by Mimi Miller Black, Mimi Black, Miriam Miller Black, was a registered financial professional .
Miriam is a previously registered financial professional and started their career in finance in 1984. Miriam had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 1996 - October 1, 1996
INTERPACIFIC INVESTORS SERVICES, INC.
June 13, 1994 - May 4, 1995
GLOBAL CAPITAL SECURITIES CORPORATION
May 24, 1991 - June 27, 1994
PRUDENTIAL EQUITY GROUP, LLC
October 11, 1985 - June 4, 1991
UBS FINANCIAL SERVICES INC.
July 11, 1985 - October 21, 1985
GILBERT MARSHALL & COMPANY
July 10, 1984 - August 22, 1985
CAPITAL EXPRESS CORP.
March 22, 1984 - June 23, 1984
BUCKINGHAM SECURITIES, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INTERPACIFIC INVESTORS SERVICES, INC.
CRD#: 4879 / SEC#: , 8-15487
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUNDGREN, GARY JAMES | FINANCIAL PRINCIPAL | 724817 |
| INTERPACIFIC INVESTOR SERVICES, LLC | SHAREHOLDER | |
| KLINE, BRIAN RUSSELL | MSRB PRINCIPAL | 1551855 |
| KLINE, BRIAN RUSSELL | CHIEF COMPLIANCE OFFICER | 1551855 |
| KLINE, BRIAN RUSSELL | EXECUTIVE VICE PRESIDENT | 1551855 |
| KLINE, BRIAN RUSSELL | GENERAL PRINCIPAL | 1551855 |
| LUNDGREN, GARY JAMES | DIRECTOR/SECRETARY | 724817 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
