Alvin S. Mirman
Professional summary
Alvin Saul Mirman was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alvin is a previously registered financial professional and started their career in finance in 1964. Prior to being barred, Alvin had worked at 18 firms, which includes U.S. CAPITAL PARTNERS INC., FIRST COLONIAL SECURITIES, VFINANCE INVESTMENTS INC, GRADY AND HATCH & COMPANY INC., COMMONWEALTH ASSOCIATES, GRUNTAL & CO. L.L.C., MORGAN STANLEY DW INC., E. F. HUTTON & COMPANY INC, JII SECURITIES INC., JOHN MUIR & CO., GINTEL & CO. LLC, MIRMAN SECURITIES INC., WINKLER CANTOR POMBOY & CO., ITG EXECUTION SERVICES INC., SEIDLITZ AND COMPANY INC., WILLARD SECURITIES INC., FINANCIAL SQUARE PARTNERS, GREENE & LADD.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2002 - January 30, 2006
U.S. CAPITAL PARTNERS, INC.
March 22, 2001 - January 1, 2002
FIRST COLONIAL SECURITIES
September 9, 1998 - October 16, 2002
VFINANCE INVESTMENTS, INC
July 11, 1997 - November 9, 1998
GRADY AND HATCH & COMPANY, INC.
July 18, 1994 - July 8, 1997
COMMONWEALTH ASSOCIATES
September 18, 1987 - July 20, 1994
GRUNTAL & CO., L.L.C.
December 23, 1986 - September 21, 1987
MORGAN STANLEY DW INC.
January 21, 1983 - March 17, 1987
E. F. HUTTON & COMPANY INC
September 14, 1981 - January 28, 1983
JII SECURITIES INC.
November 19, 1979 - August 17, 1981
JOHN MUIR & CO.
March 20, 1979 - December 9, 1979
GINTEL & CO., LLC
January 5, 1979 - March 16, 1979
MIRMAN SECURITIES, INC.
December 11, 1973 - August 5, 1974
WINKLER, CANTOR, POMBOY & CO.
February 15, 1973 - December 15, 1973
ITG EXECUTION SERVICES, INC.
July 19, 1972 - April 1, 1973
SEIDLITZ AND COMPANY, INC.
January 4, 1972 - September 2, 1972
WILLARD SECURITIES, INC.
November 10, 1971 - February 19, 1972
FINANCIAL SQUARE PARTNERS
October 6, 1964 - December 22, 1971
GREENE & LADD
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 55
Date: 10/12/2002
Limited Representative-Equity Trader ExamSeries 1
Date: 1/22/1959
Registered Representative ExaminationSeries 40
Date: 9/10/1978
Registered Principal ExaminationF04
Date: 8/10/1978
Financial Principal ExaminationSeries 00
Date: 2/24/1972
General Securities Principal ExaminationCurrent Firm
U.S. CAPITAL PARTNERS, INC.
CRD#: 120751 / SEC#: , 8-65339
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZINDMAN, MICHAEL DAVID | VICE PRESIDENT | 2720114 |
| ILENE MIRMAN | OWNER | |
| COHEN, DAVID SCOTT | CHIEF COMPLIENCE OFFICER | |
| MIRMAN, ALVIN SAUL | PRESIDENT |
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.
