Dave Mirolli (CRD #: 5116067), a broker registered with Kalos Capital, has multiple pending client disputes, according to his BrokerCheck record, accessed on December 7, 2020. Mr. Mirolli is also a registered investment adviser with Catalyst Wealth Management. For more information about his investor complaints, keep reading.

On October 1, 2020, a client alleged that Dave Mirolli failed to conduct reasonable due diligence and failed to examine the private placement company’s representations and disclosures prior to recommending the securities. The client is seeking $1,200,000; the dispute is pending.

On August 20, 2020, a client alleged that Dave Mirolli did not conduct reasonable due diligence and recommended unsuitable investments. The client is seeking $360,570; the dispute is pending.

On February 20, 2020, a client alleged that Dave Mirolli had failed to conduct reasonable due diligence before he recommended unsuitable securities. The client further alleges that Mr. Mirolli made material misrepresentations regarding GPB Capital Holdings, an asset management company that the SEC has investigated. The client sought $155,000; the dispute settled for $55,000.

On May 1, 2011, Dave Mirolli entered into a financial compromise.

Dave Mirolli has passed the Series 66 Uniform Combined State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. Mr. Mirolli is a registered broker in Alabama, California, Florida, Georgia, Indiana, Maryland, Massachusetts, Michigan, Missouri, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia. He is a registered investment adviser in Georgia and Texas.

Dave Mirolli has worked in the securities industry for 14 years. He has worked for the following firms:

  • Kalos Management (CRD #: 133025)
  • Triad Advisors (CRD #: 25803)
  • Peachtree Planning Advisors (CRD #: 112787)
  • Park Avenue Securities LLC (CRD #: 46173)

If Dave Mirolli was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

Leave a Comment