Andrew J. Mandell
Professional summary
Andrew Jason Mandell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Andrew had worked at 17 firms, which includes NETWORK 1 FINANCIAL SECURITIES INC., OLYMPUS SECURITIES LLC, HALCYON CABOT PARTNERS LTD., THE VERTICAL GROUP, RBC CAPITAL MARKETS CORPORATION, CARLIN EQUITIES LLC, JOSEPH STEVENS & CO. INC., CROWN FINANCIAL GROUP INC., ASH FINANCIAL CORP., MAGDENSBURG SECURITIES CORP., LEGEND MERCHANT GROUP INC., BUTTONWOOD SECURITIES INC., RICKEL & ASSOCIATES INC., ROBERT TODD FINANCIAL CORP., WESTFIELD FINANCIAL CORPORATION, DUKE & CO. INC., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2017 - November 15, 2017
NETWORK 1 FINANCIAL SECURITIES INC.
September 16, 2015 - January 3, 2017
OLYMPUS SECURITIES, LLC
September 18, 2014 - September 14, 2015
HALCYON CABOT PARTNERS, LTD.
February 4, 2008 - September 25, 2014
THE VERTICAL GROUP
January 2, 2007 - February 8, 2008
RBC CAPITAL MARKETS CORPORATION
September 14, 2004 - January 2, 2007
CARLIN EQUITIES, LLC
February 10, 2003 - October 8, 2004
JOSEPH STEVENS & CO., INC.
March 9, 2000 - February 11, 2003
CROWN FINANCIAL GROUP, INC.
April 3, 1997 - April 15, 1998
ASH FINANCIAL CORP.
October 2, 1996 - February 6, 1997
MAGDENSBURG SECURITIES CORP.
April 4, 1996 - March 17, 1997
LEGEND MERCHANT GROUP, INC.
June 20, 1995 - January 17, 1996
BUTTONWOOD SECURITIES, INC.
January 24, 1995 - May 17, 1995
RICKEL & ASSOCIATES, INC.
November 4, 1994 - April 25, 1995
ROBERT TODD FINANCIAL CORP.
May 3, 1993 - November 1, 1994
WESTFIELD FINANCIAL CORPORATION
June 22, 1992 - March 2, 1993
DUKE & CO., INC.
January 6, 1992 - June 22, 1992
A.S. GOLDMEN & CO., 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
Exams
Series 55
Date: 4/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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