Ariana A. Miramontes
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.
Ariana Anais-mangum Miramontes, who also goes by Ariana Anais Mangum, was a registered financial professional .
Ariana is a previously registered financial professional and started their career in finance in 2013. Ariana had worked at 4 firms and has passed the Series 66, SIE 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
January 11, 2022 - June 6, 2023
SAXONY SECURITIES, INC.
December 7, 2015 - November 17, 2021
PURSHE KAPLAN STERLING INVESTMENTS
August 4, 2015 - December 31, 2025
MIRAMONTES CAPITAL, LLC
January 15, 2014 - March 4, 2015
UBS FINANCIAL SERVICES INC.
October 11, 2013 - March 4, 2015
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
