Michael A. 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.
Michael Anthony Miranda was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 5 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
May 20, 2011 - October 30, 2017
UNIFIED FINANCIAL SECURITIES, LLC
September 2, 2009 - December 21, 2010
HENNION & WALSH, INC.
August 13, 2009 - September 10, 2009
EQUITABLE ADVISORS, LLC
October 3, 2007 - November 4, 2008
FORESIDE FUND SERVICES, LLC
August 15, 2006 - June 18, 2007
PRUDENTIAL EQUITY GROUP, LLC
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
UNIFIED FINANCIAL SECURITIES, LLC
CRD#: 7868 / SEC#: , 8-23508
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULTIMUS FUND SOLUTIONS, LLC | OWNER | |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER | 2217795 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
