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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2014-01-09
  • NJ RA
    APPROVED
    Since 2014-01-09

Branch Locations

310 Ramapo Valley Road Po Box 90, Oakland, NJ 07436 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 10/2013 → Present
    Cetera Financial Specialists
    Schaumburg, IL
  • 12/2013 → 12/2021
    H&R Block
    Fair Lawn, NJ
  • 01/2014 → Present
    Cetera Investment Advisors Llc
    Schaumburg, IL
  • 02/2016 → 04/2022
    A & R Tax And Financial Services
    Pompton Lakes, NJ
  • 02/2017 → Present
    David Mital
    Oakland, NJ
  • 07/2017 → Present
    Mital Financial Services
    Oakland, NJ
  • 02/2022 → Present
    Michael J. Mital
    Haskell, NJ
Other Businesses

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;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-12-18
S63 Uniform Securities Agent State Law Examination 2011-01-25
  • S65 Uniform Investment Adviser Law Examination
    2013-12-18
  • S63 Uniform Securities Agent State Law Examination
    2011-01-25
Designations
Other Names
  • Michael J Mital
  • Michael J Mital

View on SEC IAPD

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