Individual Firm
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Michael Andrew Mireles
MIKE MIRELES
CRD#: 4707127
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 San Antonio, TX
0
Disclosures
20
Years of Experience
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State Registrations
B
Texas 3/28/2023
IA
Wisconsin 12/10/2021
B
Wisconsin 12/9/2021
SRO Registrations
B
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IA
Registered with this firm since 12/10/2021
B
Registered with this firm since 12/9/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/15/2021 - 06/14/2021 | AUSTIN, TX | |
B | 01/15/2021 - 06/14/2021 | AUSTIN, TX | |
IA | 01/08/2018 - 01/20/2021 | SAN ANTONIO, TX | |
B | 06/08/2020 - 01/20/2021 | SAN ANTONIO, TX | |
B | 01/03/2005 - 06/08/2020 | SAN ANTONIO, TX | |
IA | 01/03/2005 - 01/08/2018 | SAN ANTONIO, TX | |
IA | 07/02/2004 - 11/04/2004 | SAN ANTONIO, TX | |
B | 07/02/2004 - 11/04/2004 | PURCHASE, NY | |
B | 11/25/2003 - 06/30/2004 | NEWARK, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.