Alfonso J. Miranda
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.
Alfonso Joseph Miranda, who also goes by Al Miranda III, Al Miranda, Alfonso Joseph Miranda III, was a registered financial professional .
Alfonso is a previously registered financial professional and started their career in finance in 1992. Alfonso had worked at 9 firms and has passed the Series 63, SIE 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
December 23, 2014 - January 12, 2015
DAWSON JAMES SECURITIES, INC.
December 13, 2006 - December 31, 2012
VFINANCE INVESTMENTS, INC
February 21, 2006 - December 8, 2006
JHS CAPITAL ADVISORS, LLC
November 17, 2004 - March 9, 2006
SALOMON GREY FINANCIAL CORPORATION
June 29, 2001 - May 17, 2004
NEWBRIDGE SECURITIES CORPORATION
November 15, 2000 - July 11, 2001
SALOMON GREY FINANCIAL CORPORATION
July 21, 1995 - November 15, 2000
BARRON CHASE SECURITIES, INC.
December 2, 1994 - July 18, 1995
FIRST MONTAUK SECURITIES CORP.
March 3, 1993 - December 2, 1994
COMMONWEALTH ASSOCIATES
March 27, 1992 - January 20, 1993
HIBBARD BROWN & CO., INC.
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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