Richard L. 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.
Richard Lee Mandl, who also goes by Richard Mandl, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2015 - December 31, 2015
FFEC WEALTH PARTNERS LLC
August 12, 2013 - April 27, 2015
PERKINS, SMART & BOYD, INC.
November 23, 2011 - June 5, 2013
JEFFERIES LLC
July 28, 2009 - November 23, 2011
JEFFERIES BACHE SECURITIES, LLC
May 21, 2004 - July 23, 2009
UBS SECURITIES LLC
January 1, 2004 - March 25, 2004
JEFFERIES BACHE SECURITIES, LLC
February 20, 1996 - December 31, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 20, 1996 - January 1, 2004
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1995 - April 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 8
Date: 4/23/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
