Martin J. Mangialardi
Professional summary
Martin James Mangialardi is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Denver, Iowa.
Martin is registered as a RR (Registered Representative) and started their career in finance in 1988. Martin has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Martin James Mangialardi's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2015 - Present
CUNA BROKERAGE SERVICES, INC.
August 19, 2015 - March 30, 2023
CUNA BROKERAGE SERVICES, INC.
June 2, 2014 - May 19, 2015
SORRENTO PACIFIC FINANCIAL, LLC
June 2, 2014 - May 19, 2015
SORRENTO PACIFIC FINANCIAL, LLC
November 14, 2008 - June 9, 2014
LPL FINANCIAL LLC
November 14, 2008 - June 9, 2014
LPL FINANCIAL LLC
February 8, 2008 - October 8, 2008
NYLIFE SECURITIES LLC
October 11, 2006 - June 6, 2007
CHASE INVESTMENT SERVICES CORP.
October 4, 2006 - June 6, 2007
CHASE INVESTMENT SERVICES CORP.
October 7, 1999 - October 4, 2006
BNY INVESTMENT CENTER INC.
June 28, 1995 - November 2, 1999
ESSEX NATIONAL SECURITIES, LLC
June 27, 1994 - July 19, 1995
HSBC BROKERAGE (USA) INC.
March 24, 1992 - June 27, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 24, 1990 - March 30, 1992
CAPITAL BROKERAGE CORPORATION
April 4, 1989 - January 29, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
November 4, 1988 - March 18, 1989
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
September 9, 1988 - November 26, 1988
METROPOLITAN LIFE INSURANCE COMPANY
September 9, 1988 - November 26, 1988
MSI FINANCIAL SERVICES, 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
(8/18/2015)
Exams
FINRA
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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