Lana C. Mangold

CETERA INVESTMENT ADVISERS LLC

FRISCO, TX 75033

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CRD#: 1057915

Professional summary

Lana Carole Mangold, CFP®, who also goes by Lana Clark, Dr. Lana Mangold, Lana Carole Paramore, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Frisco, Texas and CETERA FINANCIAL SPECIALISTS LLC located in Frisco, Texas.

Lana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Lana has worked at 15 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lana Clark | Dr. Lana Mangold | Lana Carole Paramore

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) FIXED INSURANCE SALES, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SALES OF LIFE INSURANCE, HEALTH INSURANCE, FIXED ANNUITIES AND LONG-TERM CARE INSURANCE, 5H/WEEK, 5H/WEEK DURING TRADING HOURS, SINCE 10/2004. 2) EAGLE RETIREMENT GROUP LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PART OWNER, DBA FOR INVESTMENTS, ADVISORY AND INSURANCE BUSINESS, MARKETING AND BUSINESS MANAGEMENT, 40H/WEEK, 40H/WEEK DURING TRADING HOURS, SINCE 02/2009. 3) COMPSYCH, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, INDEPENDENT CONTRACTOR, GIVE GROUP PRESENTATIONS TO CORPORATIONS WHICH COMPSYCH CONTRACTS, 1H/WEEK, 1H/WEEK DURING TRADING HOURS, SINCE 07/2022

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lana Carole Mangold's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

October 18, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8372 Hillside Drive, Frisco, TX 75033

RIA

CRD#: 105644

FRISCO, TX

Current

October 18, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 8372 Hillside Dr, Frisco, TX 75033

CRD#: 10358

Frisco, TX

Past

September 1, 2023 - October 20, 2023

OSAIC WEALTH, INC.

RIA

CRD#: 23131

DALLAS, TX

Past

September 1, 2023 - October 20, 2023

OSAIC WEALTH, INC.

CRD#: 23131

DALLAS, TX

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

DALLAS, TX

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

DALLAS, TX

Past

September 29, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

RIA

CRD#: 20068

ADDISON, TX

Past

September 22, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

January 29, 2001 - September 22, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

DALLAS, TX

Past

January 26, 2001 - September 22, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

January 5, 2000 - December 31, 2000

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

September 30, 1997 - January 19, 2000

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 30, 1997 - January 19, 2000

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

October 18, 1994 - February 22, 1995

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

March 4, 1992 - October 10, 1997

DOMINION CAPITAL CORPORATION

CRD#: 18837

DALLAS, TX

Past

February 12, 1991 - February 18, 1992

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

ENGLEWOOD, CO

Past

September 4, 1987 - February 13, 1991

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

June 17, 1987 - September 14, 1987

DOMINION CAPITAL CORPORATION

CRD#: 18837

Past

October 25, 1986 - June 16, 1987

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

September 15, 1982 - October 29, 1986

CITISTREET EQUITIES LLC

CRD#: 7447

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/18/2023)

Minnesota
(10/18/2023)

Texas
(10/18/2023)

IAR

Texas
(10/18/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/13/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/28/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Lana C. Mangold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lana Carole Mangold's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

VSR FINANCIAL SERVICES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

SUNPOINT SECURITIES, INC.

DOMINION CAPITAL CORPORATION

THE GREAT-WEST LIFE ASSURANCE COMPANY

EMPOWER FINANCIAL SERVICES, INC.

DOMINION CAPITAL CORPORATION

PAMCO SECURITIES AND INSURANCE SERVICES

CITISTREET EQUITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 6

Date: 9/13/1982

Series 24

Date: 7/28/1988

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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