Afzal S. Mithwani

NEXUS CAPITAL

SUWANEE, GA 30024

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CRD#: 3100323

Professional summary

Afzal Sadruddin Mithwani, who also goes by Alan Mithwani, is a registered financial advisor currently at NEXUS CAPITAL INC located in Suwanee, Georgia.

Afzal is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Afzal has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan Mithwani

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.

IRS ENROLLED AGENT, NON-INVESTMENT RELATED, SUWANEE, GEORGIA, TAX PREPARATION SERVICES, SELF-EMPLOYED, IRS ENROLLED AGENT, START DATE AUGUST 2000, 2HOURS PER WEEK, 0 HOURS DURING SECURITIES TRADING HOURS, PRIMARY DUTY TAX PREPARATION SERVICES, IRS ENROLLED AGENT. INDEPENDENT INSURANCE AGENT, NON-INVESTMENT RELATED, SUWANEE, GEORGIA, INSURANCE PRODUCT SALES, SELF-EMPLOYED, INSURANCE AGENT, START DATE SEPTEMBER 1998, 2HOURS PER WEEK, 0 HOURS DURING SECURITIES TRADING HOURS, PRIMARY DUTY IS INSURANCE PRODUCT SALES. FIRST OPTION MORTGAGE, 1100 CIRCLE 75 PARKWAY SE, SUITE 300, ATLANTA, GA - LOAN ORIGINATOR- REAL ESTATE SALES, MORTGAGE ORIGINATION/ MORTGAGE BROKER- NIR, 1 HR/ WEEKLY- 0/TRADING. NAYAB REALTY, LLC, 1142 SATELLITE BLVD, SUITE 100A, SUWANEE, GA, MEMBER, REAL ESTATE RENTAL PROPERTY 50% OWNER-NIR, 1/WK- 0/TRADING. UNIVISION CPA, INC, 1142 SATELLITE BLVD, SUWANEE GA, CPA FIRM ACCOUNTING AND TAX SVCS, NIR, 30/WK, 4/TRADING. UNIVISION SOLUTIONS, LLC, 11142 SATELLITE BLVD, SUWANEE GA, PRESIDENT, NIR, 10% OF HIS TIME ON THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Afzal Sadruddin Mithwani'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

October 5, 2020 - Present

NEXUS CAPITAL INC

Office #1: 1142 Satellite Blvd Suite 100-a, Suwanee, GA 30024

RIA

CRD#: 291866

SUWANEE, GA

Past

December 12, 2019 - June 9, 2020

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Atlanta, GA

Past

January 6, 2012 - December 31, 2017

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PEACHTREE CORNERS, GA

Past

December 15, 2011 - January 6, 2012

WORLD GROUP SECURITIES, INC.

CRD#: 114473

NORCROSS, GA

Past

September 12, 2005 - December 22, 2009

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

LAWRENCEVILLE, GA

Past

August 15, 2000 - April 21, 2005

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BOSTON, MA

Past

August 25, 1998 - August 15, 2000

INTERPACIFIC INVESTORS SERVICES, INC.

CRD#: 4879

SEATTLE, WA

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.

Highlighted states indicate IAR registrations

IAR

Georgia
(10/5/2020)

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.

Exams

State Security Law Exam

Series 63

Date: 8/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1998

General Securities Representative Examination

Current Firm

NEXUS CAPITAL INC

NEXUS CAPITAL INC | NEXUS CAPITAL, INC. | NEXUS CAPITAL INC.

CRD#: 291866 / SEC#:

Georgia

Registered Investment Advisory firm - (2/7/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/23/2018 Approved)

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Contact information

Main Address

2423-b Plantation Center Drive Suite B, Matthews, NC 28105

Mailing Address

Phone number

(704) 845-0918

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 6,985,874

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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Afzal S. Mithwani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Afzal Sadruddin Mithwani's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEXUS CAPITAL INC

CAMBRIDGE INVESTMENT RESEARCH, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

WORLD GROUP SECURITIES, INC.

AVANTAX INVESTMENT SERVICES, INC.

SIGNATOR FINANCIAL SERVICES, INC.

INTERPACIFIC INVESTORS SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1998

SIE

Date: 12/31/2017

Series 7

Date: 8/17/1998

Current Firm

NEXUS CAPITAL INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEXUS CAPITAL INC

TRUST BUT VERIFY

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