Miguel D. Zarraga

NETWORK 1 FINANCIAL ADVISORS

RED BANK, NJ

CRD#: 2983023

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Professional summary

Miguel De Leon Zarraga JR, who also goes by Mike Zarraga Jr, Mike Zarraga, is a registered financial advisor currently at NETWORK 1 FINANCIAL ADVISORS INC. located in Red Bank, New Jersey and NETWORK 1 FINANCIAL SECURITIES INC. located in Red Bank, New Jersey.

Miguel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Miguel has worked at 2 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Zarraga Jr | Mike Zarraga

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) - RIA

Click below to view Miguel De Leon Zarraga JR's 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 5, 2026 - Present

NETWORK 1 FINANCIAL ADVISORS INC.

RIA

CRD#: 121239

RED BANK, NJ

Current

January 2, 1998 - Present

NETWORK 1 FINANCIAL SECURITIES INC.

Office #1: The Galleria Penthouse, Building 2 Suite 241 2 Bridge Avenue, Red Bank, NJ, 07701

CRD#: 13577

RED BANK, NJ

Past

March 21, 2003 - December 31, 2025

NETWORK 1 FINANCIAL ADVISORS INC.

RIA

CRD#: 121239

RED BANK, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(2/4/1998)

Delaware
(2/6/1998)

Florida
(1/28/1998)

Georgia
(4/14/2004)

Maryland
(1/29/1998)

New Jersey
(1/16/1998)

IAR

New Jersey
(1/5/2026)

New York
(2/6/1998)

Pennsylvania
(8/13/2024)

South Carolina
(6/27/2024)

Texas
(8/28/2015)

Virginia
(2/5/1998)

Washington
(4/14/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/2/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/1997

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

NETWORK 1 FINANCIAL ADVISORS INC.

CRD#: 121239 / SEC#:

Colorado

Registered Investment Advisory firm - (4/18/2016 Terminated)

Connecticut

Registered Investment Advisory firm - (1/5/2026 Approved)

Florida

Registered Investment Advisory firm - (5/30/2003 Approved)

New Jersey

Registered Investment Advisory firm - (11/10/1998 Approved)

Texas

Registered Investment Advisory firm - (1/30/2026 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2 Bridge Ave Suite 241, Red Bank, NJ 07701

Mailing Address

Phone number

(732) 758-9001

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	80
AUM (Assets Under Management)	$ 40,940,154

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Connecticut	ERA - Withdrawn	1/2/2026
Florida	ERA - Withdrawn	1/2/2026
Georgia	ERA - Withdrawn	1/2/2026
Louisiana	ERA - Withdrawn	1/2/2026
New Jersey	ERA - Withdrawn	1/2/2026
New York	ERA - Withdrawn	1/2/2026
North Carolina	ERA - Withdrawn	1/2/2026
Oregon	ERA - Withdrawn	1/2/2026
Pennsylvania	ERA - Withdrawn	1/2/2026
Texas	ERA - Withdrawn	1/2/2026

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.

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Advisor Monitoring

Firm Stability Insights

Miguel D. Zarraga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Miguel De Leon Zarraga JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NETWORK 1 FINANCIAL SECURITIES INC.

NETWORK 1 FINANCIAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2000

Series 63

Date: 2/2/1998

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/22/1997

FINRA

Nasdaq Stock Market

Current Firm

NETWORK 1 FINANCIAL ADVISORS INC.

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

NETWORK 1 FINANCIAL ADVISORS INC.

TRUST BUT VERIFY

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