MM
Marvin C. Mangham
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CRD#: 1240321
MM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marvin Collier Mangham JR, who also goes by Marvin Collier Mangham, was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1984. Marvin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Marvin Collier Mangham
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 9/2016; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF TRADING HOURS PER WEEK: 32.5 HOURS; POSITION/TITLE/RELATIONSHIP: AGENT; BRIEF DESCRIPTION OF DUTIES: LIFE, DISABILITY, ANNUITIES & LONG TERM CARE. 2. NAME OF OTHER BUSINESS: FIRST CONGREGATIONAL CHURCH; INVESTMENT RELATED: NO; ADDRESS: 105 COURTLAND ST ATLANTA GA 30303; NATURE OF BUSINESS: CHURCH; START DATE: 1/2006; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF TRADING HOURS PER WEEK: 1 HOUR; POSITION/TITLE/RELATIONSHIP: INVESTMENT COMMITTEE; BRIEF DESCRIPTION OF DUTIES: REVIEW OF CHURCH'S PORTFOLIO MANAGED BY UNITED CHURCH OF CHRIST. 3. NAME OF OTHER BUSINESS: SADIE G MAYS HEALTH & REHABILITATION; INVESTMENT RELATED: NO; ADDRESS: 1821 ANDERSON AVE SW ATLANTA GA 20214; NATURE OF BUSINESS: FINANCE COMMITTEE; START DATE: 1/2000; APX NUMBER OF HOURS PER WEEK: 1 HOUR; APX NUMBER OF TRADING HOURS PER WEEK: 1 HOUR; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE & BOARD MEMBER; BRIEF DESCRIPTION OF DUTIES: REVIEW OF FACILITIES FINANCES & INVESTMENTS. 4. NAME OF OTHER BUSINESS: ATLANTA PLANNING GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL PLANNING; START DATE: 3/1993; APX NUMBER OF HOURS PER WEEK: 50 HOUR; APX NUMBER OF TRADING HOURS PER WEEK: 32.5 HOUR; POSITION/TITLE/RELATIONSHIP: REGISTERED REP & INVESTMENT ADVISOR; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL ADVICE. 5. NAME OF OTHER BUSINESS: DBA MANGHAM-SCOTT WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: WEALTH MANAGEMENT/INVESTMENT ADVISORY; START DATE: 12/15/2016; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR/WEALTH MANAGER; APX NUMBER OF HOURS PER WEEK: 40+ HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 3, 2016 - June 14, 2022
CETERA ADVISORS LLC
RIA
CRD#: 10299
ATLANTA, GA
Past
October 3, 2016 - June 14, 2022
CETERA ADVISORS LLC
BD
CRD#: 10299
ATLANTA, GA
Past
June 16, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
ATLANTA, GA
Past
January 5, 2004 - June 16, 2005
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
LYNNFIELD, MA
Past
January 5, 2004 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
ATLANTA, GA
Past
June 13, 2003 - December 31, 2003
DEMPSEY FINANCIAL NETWORK, INC.
RIA
CRD#: 38330
ATLANTA, GA
Past
January 2, 2001 - December 31, 2003
DEMPSEY FINANCIAL NETWORK, INC.
BD
CRD#: 38330
ATLANTA, GA
Past
May 3, 1999 - December 31, 2000
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
January 1, 1990 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
October 26, 1987 - December 20, 1989
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
Past
October 28, 1986 - October 15, 1987
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
Past
June 8, 1984 - December 20, 1989
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
