Ross H. Mandell
Professional summary
Ross H Mandell was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ross H Mandell was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1983. Ross had worked at 15 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2002 - January 13, 2009
GRANTA CAPITAL GROUP LLC
April 10, 1997 - February 23, 2001
THE THORNWATER COMPANY, L.P.
August 2, 1995 - April 4, 1997
ROAN CAPITAL PARTNERS L.P.
December 5, 1994 - July 20, 1995
JOSEPHTHAL & CO., INC.
February 15, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
July 31, 1992 - January 7, 1994
REICH & CO., INC.
February 4, 1991 - August 20, 1992
COMMONWEALTH ASSOCIATES
October 14, 1988 - October 31, 1990
RODMAN & RENSHAW INC.
September 8, 1988 - September 21, 1988
GREELEY SECURITIES, INC.
February 8, 1988 - May 27, 1988
STEVEN ANDREW & COMPANY, INC.
January 25, 1988 - March 14, 1988
COPELAND SECURITIES INCORPORATED
October 1, 1987 - January 15, 1988
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1986 - October 7, 1987
D. H. BLAIR & CO., INC.
March 27, 1985 - August 11, 1986
CIBC WORLD MARKETS CORP.
December 21, 1983 - March 25, 1985
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRANTA CAPITAL GROUP LLC
CRD#: 114657 / SEC#: , 8-53430
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SKY CAPITAL HOLDINGS LTD. | HOLDING COMPANY | |
| BOLOGNA, STEPHEN JOHN | HEAD EQUITIES TRADER | 2571478 |
| DUFFY, FRANCIS THOMAS | SROP/CROP/FINOP/CHIEF FINANCIAL OFFICER | 500206 |
| GOSS, ROBERT LEWIS | CHIEF COMPLIANCE OFFICER | 226258 |
| SHEA, STEPHEN WILLIAM | CHIEF OPERATING OFFICER | 2884781 |
| SHEA, STEPHEN WILLIAM | ACTING INTERIM PRESIDENT | 2884781 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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