Douglas Clark Mangini
Professional Summary
Douglas Clark Mangini, who also goes by Douglas C Mangini, was a registered financial advisor. Douglas was a previously registered financial professional and started their career in finance 1985 - 2014. Douglas had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Douglas C Mangini
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
41 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
GUGGENHEIM DISTRIBUTORS, LLC | RYDEX DISTRIBUTORS, LLC | RYDEX DISTRIBUTORS, INC. | PADCO FINANCIAL SERVICES, INC. | GUGGENHEIM INVESTMENTS
Contact Information
Established
Kansas since 07/30/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYDEX HOLDINGS, LLC | 100% MEMBERSHIP INTEREST | — |
| BELDEN, WILLIAM HINCHLIFFE III | VICE PRESIDENT | 1693322 |
| CACCIAPAGLIA, DONALD CHRISTOPHER | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1396644 |
| JACQUES, JULIE ANN | FINOP | 5212910 |
| JACQUES, JULIE ANN | TREASURER | 5212910 |
| LEE, AMY JO | SECRETARY | 1161869 |
| LEE, AMY JO | VICE PRESIDENT | 1161869 |
| MANGINI, DOUGLAS C | VICE PRESIDENT | 1414476 |
| MCGOVERN, KEVIN MICHAEL | VICE PRESIDENT | 1745533 |
| METZGER, DENNIS RYAN | ASSISTANT CHIEF COMPLIANCE OFFICER | 4888899 |
| MILLER, ELISABETH ANN | CHIEF COMPLIANCE OFFICER | 4381813 |
| WORF, JEFFREY ALLEN | VICE PRESIDENT | 1416591 |
Disclosures
Regulatory Event
1Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
The advisor shows no other business activity.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1989About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Oct 1985About the Series 22 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 2003About the Series 26 examSimilar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
