Mark D. Mandell
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.
Mark Daniel Mandell was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2023 - March 20, 2024
CHARLES LANE CAPITAL, LLC
February 18, 2021 - September 29, 2021
B. RILEY WEALTH MANAGEMENT
February 12, 2013 - November 2, 2021
DALTON INVESTMENTS LLC
November 19, 2008 - October 26, 2012
CONVERGENT FUND MANAGEMENT, LLC
July 3, 2000 - March 1, 2001
AMERICAN EASTERN SECURITIES, INC.
May 3, 1999 - May 1, 2000
SHORELINE TRADING GROUP LLC
March 5, 1993 - April 20, 1999
AMERICAN EASTERN SECURITIES, INC.
July 31, 1991 - February 10, 1993
CITIZENS JMP SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHARLES LANE CAPITAL, LLC
CRD#: 315094 / SEC#: 801-121966
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 33,533,969 |
Red Flags
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