David L. Mirra
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.
David L Mirra was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 8 firms and has passed the Series 66, Series 63 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
October 16, 2012 - July 3, 2013
CABOT LODGE SECURITIES LLC
May 10, 2004 - August 19, 2004
FRED ALGER & COMPANY, LLC
August 5, 2003 - August 27, 2003
EQUITABLE ADVISORS, LLC
March 25, 2002 - April 24, 2002
F1 TRADING.COM, INC.
January 2, 2001 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
December 15, 2000 - January 2, 2001
GLOBAL CAPITAL MARKETS, LLC
September 15, 1999 - March 23, 2000
CITIGROUP GLOBAL MARKETS INC.
May 24, 1999 - June 22, 1999
CONTINENTAL BROKER-DEALER CORP.
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
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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