Thomas Frank Mirra

Current Employers

Mai Capital Management, Llc

6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2024-08-05
AL	RA	APPROVED	2024-08-02
PA	RA	APPROVED	2024-08-01
TX	RA	APPROVED_RES	2024-08-01
CA	RA	APPROVED	2024-07-31
NJ	RA	APPROVED	2024-07-31
NY	RA	APPROVED	2024-07-31

CT RA
APPROVED

Since 2024-08-05
AL RA
APPROVED

Since 2024-08-02
PA RA
APPROVED

Since 2024-08-01
TX RA
APPROVED_RES

Since 2024-08-01
CA RA
APPROVED

Since 2024-07-31
NJ RA
APPROVED

Since 2024-07-31
NY RA
APPROVED

Since 2024-07-31

Branch Locations

Saratoga Springs, NY • United States

6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Distribution Partners	Dublin	OH	09/2011	09/2018
R F Lafferty & Co. Inc.	New York	NY	09/2015	08/2018
Lpl Financial	New York	NY	09/2018	07/2024
Global Retirement Partners, Llc	San Rafael	CA	01/2019	07/2024
Mai Capital Management, Llc	Cleveland	OH	07/2024	Present

09/2011 → 09/2018

Distribution Partners

Dublin, OH
09/2015 → 08/2018

R F Lafferty & Co. Inc.

New York, NY
09/2018 → 07/2024

Lpl Financial

New York, NY
01/2019 → 07/2024

Global Retirement Partners, Llc

San Rafael, CA
07/2024 → Present

Mai Capital Management, Llc

Cleveland, OH

Previous Registrations

2020-01-24 → 2024-07-31

Global Retirement Partners Llc

New York, NY

San Rafael, CA

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-01-24
S63	Uniform Securities Agent State Law Examination	1989-01-24

S65 Uniform Investment Adviser Law Examination

2020-01-24
S63 Uniform Securities Agent State Law Examination

1989-01-24