Jose R. Mirabal

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CRD#: 4042589

Professional summary

Jose Rafael Mirabal was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jose is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Jose had worked at 6 firms, which includes SEARLE & CO., WALLSTREET*E FINANCIAL SERVICES INC., KOVACK SECURITIES INC., INVESTACORP INC., NEW WORLD FINANCIAL INC., PACIFIC CONTINENTAL SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 14, 2005 - January 24, 2006

SEARLE & CO.

CRD#: 13035

GREENWICH, CT

Past

April 22, 2003 - September 29, 2005

WALLSTREET*E FINANCIAL SERVICES, INC.

CRD#: 43896

CORAL GABLES, FL

Past

January 3, 2003 - April 16, 2003

KOVACK SECURITIES INC.

CRD#: 44848

FT. LAUDERDALE, FL

Past

January 14, 2002 - November 1, 2002

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

November 20, 2000 - December 13, 2001

NEW WORLD FINANCIAL, INC.

CRD#: 47747

MARBELLA,

Past

October 20, 1999 - November 21, 2000

PACIFIC CONTINENTAL SECURITIES CORPORATION

CRD#: 2398

BEVERLY HILLS, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/19/1999

General Securities Representative Examination

Current Firm

SEARLE & CO.

CRD#: 13035 / SEC#: 801-68574, 8-28600

RIA

Registered Investment Advisory firm - SEC (11/30/2007 Approved)

Connecticut

Registered Investment Advisory firm - SEC (12/5/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

333 Greenwich Ave., Greenwich, CT 06830

Mailing Address

333 Greenwich Ave., Greenwich, CT 06830

Phone number

(203) 869-4800

Established

Connecticut since 11/22/1982

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SEARLE & CO. FORM ADV PART 2A: DISCLOSURE BROCHURE (11/27/2024)

Direct owners and executive officers

Name	Position	CRD#
SEARLE, ROBERT SOUTHWORTH	PRESIDENT/CHIEF COMPLIANCE OFFICER, CFO	839312
COOK, THADDEUS SAJOUS	VICE PRESIDENT	856315
PETERS, KAREN LYNN	FIN OP	2080613

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 648,957,944

Disclosures

Regulatory Event

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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Firm Stability Insights

Jose R. Mirabal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WALLSTREET*E FINANCIAL SERVICES, INC.

KOVACK SECURITIES INC.

INVESTACORP, INC.

NEW WORLD FINANCIAL, INC.

PACIFIC CONTINENTAL SECURITIES CORPORATION

Primary Firm SEC Registration

SEARLE & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/1/1999

Series 7

Date: 10/19/1999

Current Firm

SEARLE & CO.

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SEARLE & CO.

TRUST BUT VERIFY

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