Mary K. Mandl
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.
Mary Kathleen Mandl was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1986. Mary had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6 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
July 20, 2006 - December 31, 2020
MANDL, MARY
July 11, 2005 - December 31, 2022
MCNALLY FINANCIAL SERVICES CORPORATION
March 10, 2003 - July 20, 2005
OSAIC WEALTH, INC.
January 2, 2003 - July 20, 2005
OSAIC WEALTH, INC.
January 25, 1999 - December 31, 2002
COMMONWEALTH FINANCIAL NETWORK
December 2, 1997 - December 31, 1998
SUNPOINT SECURITIES, INC.
November 13, 1997 - August 3, 1999
SIGNATOR INVESTORS, INC.
March 9, 1994 - September 23, 1997
SUNAMERICA SECURITIES, INC.
July 14, 1993 - March 10, 1994
SWBC INVESTMENT COMPANY
April 24, 1992 - July 14, 1993
SUNAMERICA SECURITIES, INC.
June 18, 1989 - March 23, 1992
SUNAMERICA SECURITIES, INC.
December 20, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
October 17, 1988 - December 20, 1988
TRANSAMERICA SECURITIES SALES CORPORATION
October 17, 1988 - December 20, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 29, 1988 - September 9, 1988
THE ADVISORS GROUP, INC.
September 9, 1986 - May 10, 1988
KNIBBE FINANCIAL GROUP, INC.
August 6, 1986 - August 26, 1986
LOWRY FINANCIAL SERVICES CORPORATION
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
MANDL, MARY
CRD#: 140595 / SEC#:
Contact information
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.
