Mir A. Ali
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.
Mir Arif Ali was a registered financial professional .
Mir is a previously registered financial professional and started their career in finance in 1973. Mir had worked at 13 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2001 - May 14, 2013
U.S. BROKERAGE, INC.
September 20, 2000 - October 30, 2001
FSC SECURITIES CORPORATION
March 3, 1999 - August 25, 2000
FSC SECURITIES CORPORATION
June 18, 1989 - December 14, 1998
SUNAMERICA SECURITIES, INC.
September 23, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
August 8, 1986 - August 20, 1987
LCP CAPITAL CORP.
September 29, 1980 - December 16, 1986
CARDELL & ASSOCIATES, INCORPORATED
November 9, 1978 - October 25, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
November 24, 1976 - December 6, 1978
SCHWARM & CO.
June 25, 1974 - December 22, 1976
PW SECURITIES, INC.
March 19, 1974 - August 12, 1974
ONEAMERICA SECURITIES, INC.
March 19, 1974 - August 12, 1974
AMERICAN UNITED LIFE INSURANCE COMPANY
August 22, 1973 - March 21, 1974
FUNDAMENTAL SERVICE CORPORATION
August 22, 1973 - March 21, 1974
FINANCIAL SERVICE CORPORATION OF AMERICA
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
Series 1
Date: 8/20/1973
Registered Representative ExaminationSeries 40
Date: 12/11/1978
Registered Principal ExaminationCurrent Firm
U.S. BROKERAGE, INC.
CRD#: 39307 / SEC#: , 8-48635
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
