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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2014-01-09 |
Branch Locations
310 Ramapo Valley Road Po Box 90, Oakland, NJ 07436 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists | Schaumburg | IL | 10/2013 | Present |
| H&R Block | Fair Lawn | NJ | 12/2013 | 12/2021 |
| Cetera Investment Advisors Llc | Schaumburg | IL | 01/2014 | Present |
| A & R Tax And Financial Services | Pompton Lakes | NJ | 02/2016 | 04/2022 |
| David Mital | Oakland | NJ | 02/2017 | Present |
| Mital Financial Services | Oakland | NJ | 07/2017 | Present |
| Michael J. Mital | Haskell | NJ | 02/2022 | Present |
1)NAME OF OTHER BUSINESS: MICHAEL J. MITAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 2/2022; POSITION/TITLE/RELATIONSHIP: TAX PREPARER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: PREPARE AND FILE FEDERAL AND STATE TAX RETURNS; 2)HEALTH INSURANCE SALES, NON-INVESTMENT RELATED, SAME ADDRESS AS REGISTERED LOCATION, START DATE 9/29/2013: 3) NAME OF OTHER BUSINESS: DAVID MITAL INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX RETURN PREPARATION START DATE: 2/2017 APX NUMBER OF HOURS PER WEEK: 12 APX NUMBER OF HOURS DURING TRADING HOURS: 12 POSITION/TITLE/RELATIONSHIP: DATA ENTRY BRIEF DESCRIPTION OF DUTIES: ENTRY OF TAX INOFRMATION TO PREPARE TAX RETURNS 4) NAME OF OTHER BUSINESS: DBA MITAL FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 07/2017; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: FIXED INSURANCE - GROUP DIASABILITY INSURANCE; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/2018; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS GROUP DIASABILITY INSURANCE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2011-01-25 |
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