Douglas C. Mangini
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.
Douglas Clark Mangini, who also goes by Douglas C Mangini, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1985. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2012 - March 3, 2014
GUGGENHEIM DISTRIBUTORS, LLC
March 2, 2011 - January 15, 2021
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
July 12, 2010 - January 31, 2011
MORGAN STANLEY & CO. LLC
June 18, 2010 - January 31, 2011
MORGAN STANLEY DISTRIBUTORS INC.
June 18, 2010 - January 31, 2011
MORGAN STANLEY DISTRIBUTION, INC.
April 2, 2007 - June 8, 2010
MORGAN STANLEY & CO. LLC
April 20, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
April 20, 2006 - June 8, 2010
MORGAN STANLEY DISTRIBUTORS INC.
April 20, 2006 - June 8, 2010
MORGAN STANLEY DISTRIBUTION, INC.
February 21, 2003 - March 31, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 21, 2002 - September 30, 2002
CAPITAL BROKERAGE CORPORATION
February 14, 2001 - June 20, 2001
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 4, 1999 - February 15, 2001
NATIONWIDE SECURITIES, LLC
January 8, 1997 - November 18, 1997
TOWER SQUARE SECURITIES, INC.
December 9, 1994 - January 1, 1997
NATIONWIDE SECURITIES, LLC
January 29, 1992 - January 26, 1993
NEUBERGER BERMAN MANAGEMENT LLC
November 8, 1989 - October 16, 1990
BNY MELLON SECURITIES CORPORATION
October 10, 1985 - July 21, 1986
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GUGGENHEIM DISTRIBUTORS, LLC
CRD#: 40805 / SEC#: , 8-49200
Contact information
Documents
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 | 1 |
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.
