Mandy L. Schlender
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.
Mandy L Schlender, who also goes by Mandy S Ross, Mandy Schlender Ross, Mandy Lee Schlender, was a registered financial professional .
Mandy is a previously registered financial professional and started their career in finance in 1993. Mandy had worked at 14 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2013 - December 9, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
April 27, 2012 - August 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - July 2, 2010
MORGAN STANLEY
April 30, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 24, 2006 - January 23, 2007
HSBC SECURITIES (USA) INC.
January 22, 2003 - February 28, 2005
CUNA BROKERAGE SERVICES, INC.
July 6, 2001 - November 30, 2001
DIRECTED SERVICES LLC
February 18, 2000 - July 12, 2001
VOYA FINANCIAL PARTNERS, LLC
January 8, 1999 - February 16, 2000
EDWARD JONES
December 13, 1995 - January 25, 1999
WACHOVIA BROKERAGE SERVICE
October 1, 1994 - March 28, 1995
TRUIST SECURITIES, INC.
March 16, 1994 - August 24, 1994
SANWA UNIVERSAL SECURITIES CO., LLC
March 16, 1994 - August 24, 1994
SANWA SECURITIES (USA) CO., L.P.
May 5, 1993 - March 10, 1994
J.P. MORGAN SECURITIES LLC
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
Current Firm
METLIFE INVESTORS DISTRIBUTION COMPANY
CRD#: 107622 / SEC#: , 8-53064
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE INVESTORS GROUP, LLC | SHAREHOLDER | |
| ALPHONSO-NAPOLI, GEETA MARCELI | LEGAL OFFICER | 4518655 |
| FRADKIN, GEOFFREY ANDREW | VICE PRESIDENT | 5473381 |
| GOOD, JESSICA TERESE | CHAIRMAN OF THE BOARD OF DIRECTORS, PRESIDENT AND CEO | 5741973 |
| GRUPPUSO, PETER | ASSISTANT VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2643834 |
| KUCHINSKY, ALEXIS NATALIE | CHIEF COMPLIANCE OFFICER | 4343809 |
| LOPEZ, GABRIEL ADOLPH | DIRECTOR AND SENIOR VICE PRESIDENT | 2554216 |
| MCDERMOTT, MICHAEL | DIRECTOR, SENIOR VICE PRESIDENT | 5577809 |
| SCHUSTER, THOMAS JAMES | DIRECTOR, SENIOR VICE PRESIDENT | 4570334 |
| SMITH-WALL, ANIKA AYANNA-NJERI | DIRECTOR, VICE PRESIDENT | 7414359 |
Disclosures
| Regulatory Event | 1 |
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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