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Donal Fox Mastrangelo

CRD# 1586659·Registered 1995 - 2025
Previously Registered: Being a previously registered professional could mean that Donal 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.

Professional Summary

Donal Fox Mastrangelo, who also goes by Donal C F Mastrangelo, was a registered financial advisor. Donal was a previously registered financial professional and started their career in finance 1995 - 2025. Donal had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 8 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Donal C F Mastrangelo

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

LUMENT SECURITIES, LLC·CRD# 14840
BD
New York, NY
February 14, 2024 - July 24, 2025
LEX·CRD# 304601
BD
New York, NY
March 30, 2022 - March 20, 2023
SCHRODER FUND ADVISORS LLC·CRD# 24129
BD
New York, NY
October 22, 2021 - March 10, 2022
BLUE DIAMOND SECURITIES OF AMERICA LLC·CRD# 158821
BD
New York, NY
December 14, 2020 - November 16, 2021
MERCURY CAPITAL ADVISORS, LLC·CRD# 152338
BD
New York, NY
August 28, 2017 - December 26, 2019
GUGGENHEIM INVESTMENTS·CRD# 105477
RIA
New York, NY
March 4, 2014 - August 29, 2017
GUGGENHEIM FUNDS DISTRIBUTORS, LLC·CRD# 39805
BD
New York, NY
March 3, 2014 - August 29, 2017
GUGGENHEIM DISTRIBUTORS, LLC·CRD# 40805
BD
New York, NY
September 22, 2011 - March 3, 2014
LAZARD FRERES & CO. LLC·CRD# 2528
BD
New York, NY
September 8, 1995 - July 29, 2002

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Current Firm

LS
LUMENT SECURITIES, LLC

LUMENT SECURITIES | RED CAPITAL MARKETS, LLC | RED CAPITAL MARKETS, INC. | PROVIDENT SECURITIES & INVESTMENT COMPANY | OREC SECURITIES, LLC | LUMENT SECURITIES, LLC

CRD#: 14840 / SEC#: 8-31175
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

10 West Broad Street 8th Floor, Columbus, OH 43215

Mailing Address

10 West Broad Street 8th Floor, Columbus, OH 43215

Phone Number

(614) 857-1600

Established

Delaware since 05/06/2010

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LUMENT REAL ESTATE CAPITAL HOLDINGS, LLCSHAREHOLDER—
CROFT, JAMES FRANCISCHAIRMAN, BOARD OF MANAGERS2148025
KIRKWOOD, ROBERT THOMASCHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS6025468
MAINELLI, KEVIN JOSEPHMANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER1751991
SMITH, MARY AGNESCHIEF FINANCIAL OFFICER AND FINOP2498307

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2012About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 1995About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2011About the Series 7 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Aug 1997

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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