Thomas L. Mangan

Some features on this profile are disabled

CRD#: 1692618

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.

Thomas Lee Mangan was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

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®

None

Experience

Past

November 18, 2011 - March 22, 2019

JAMES INVESTMENT RESEARCH INC

RIA

CRD#: 110433

XENIA, OH

Past

October 24, 2011 - October 29, 2018

ALPS DISTRIBUTORS, INC.

CRD#: 16853

XENIA, OH

Past

August 11, 2010 - October 24, 2011

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

July 2, 1998 - March 2, 2009

IFS FUND DISTRIBUTORS, INC.

CRD#: 24075

CINCINNATI, OH

Past

January 19, 1988 - November 1, 1994

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/24/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/16/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/5/1998

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 3/5/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/1998

General Securities Principal Examination

Current Firm

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1349 Fairground Road, Xenia, OH 45385

Mailing Address

P. O. Box 8, Alpha, OH 45301

Phone number

(937) 426-7640

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JAMES INVESTMENT RESEARCH, INC. ADV PART 2 DECEMBER 27, 2023 (12/19/2024)

Regulatory assets under management

Total Number of Accounts	681
AUM (Assets Under Management)	$ 1,165,234,618

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas L. Mangan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

UNIFIED FINANCIAL SECURITIES, LLC

IFS FUND DISTRIBUTORS, INC.

MIZUHO SECURITIES USA LLC

Primary Firm SEC Registration

JAMES INVESTMENT RESEARCH INC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/1999

Series 65

Date: 1/16/1995

SIE

Date: 10/1/2018

Series 6

Date: 2/5/1998

Series 3

Date: 3/5/1991

Series 7

Date: 1/16/1988

Series 24

Date: 9/29/1998

Current Firm

JAMES INVESTMENT RESEARCH INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JAMES INVESTMENT RESEARCH INC

TRUST BUT VERIFY

Similar Advisors