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AM

Alan S. Mittleman

INTE SECURITIES LLC
Boca Raton, FL 33433
Some features on this profile are disabled
CRD#: 2789366
AM

Professional summary

Alan Steven Mittleman, who also goes by Alan Mittleman, is a registered financial professional currently at INTE SECURITIES LLC located in Boca Raton, Florida.

Alan is registered as a RR (Registered Representative) and started their career in finance in 1996. Alan has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 7TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan Mittleman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alan Steven Mittleman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 8, 2026 - Present

INTE SECURITIES LLC

Office #1: 7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
BD
CRD#: 47107
Boca Raton, FL
Past

August 12, 2015 - April 21, 2021

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

June 2, 2011 - July 15, 2015

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

May 5, 2008 - June 15, 2011

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 28, 2003 - May 15, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 10, 1996 - August 1, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(1/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/2/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/1/2014
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 9/12/1996
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/9/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/2/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IS
INTE SECURITIES LLC
EQUINOX SECURITIES, LLC | TRUMP SECURITIES, LLC | INTE SECURITIES LLC

CRD#: 47107 / SEC#: , 8-51667

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Mailing Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Phone number
(212) 897-1694
Established
Florida since 08/14/2018
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPINDEL, ALANMEMBER6141844
SPINDEL, HOWARDMEMBER708042
SPINDEL, JAYMEMBER1839344
STUPAY, MICHAEL ELLIOTMEMBER2287906
STUPAY, SHELLEYMEMBER5570644
OBSBAUM, FREDRIC MICHAELCCO1160811

Disclosures

Regulatory Event1

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.

Company Information

INTE SECURITIES LLC

CRD#: 47107Boca Raton, FL 33433

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