Stephen M. Mangold
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.
Stephen Michael Mangold, who also goes by Steve Mangold, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 4, Series 24 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
December 17, 2025 - February 6, 2026
TECTONIC CAPITAL ADVISORS, LLC
November 1, 2019 - January 8, 2026
TECTONIC ADVISORS LLC
November 1, 2019 - February 6, 2026
SANDERS MORRIS LLC
November 1, 2019 - February 6, 2026
SANDERS MORRIS LLC
September 20, 2016 - October 31, 2019
NEXT FINANCIAL GROUP, INC.
September 20, 2016 - October 31, 2019
NEXT FINANCIAL GROUP, INC.
February 10, 2014 - September 26, 2016
NATIONAL PLANNING CORPORATION
February 10, 2014 - September 26, 2016
NATIONAL PLANNING CORPORATION
October 26, 2007 - January 31, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 25, 2007 - January 31, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 6, 2006 - September 5, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 5, 2006 - September 5, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
March 25, 2005 - March 31, 2005
KESTRA INVESTMENT SERVICES, LLC
March 21, 2005 - March 31, 2005
KESTRA INVESTMENT SERVICES, LLC
November 18, 2003 - May 4, 2004
HILLTOP SECURITIES INC.
November 18, 2003 - May 4, 2004
HILLTOP SECURITIES INC.
November 1, 2002 - June 11, 2003
E*TRADE ADVISORY SERVICES, INC.
April 15, 2002 - June 11, 2003
E*TRADE SECURITIES LLC
July 21, 2000 - March 25, 2002
SCOTTRADE, INC.
October 27, 1995 - July 17, 2000
TD AMERITRADE, INC.
July 10, 1995 - September 11, 1995
FIDELITY BROKERAGE SERVICES LLC
June 1, 1994 - August 17, 1994
QUICK & REILLY, INC.
October 21, 1993 - February 15, 1994
AMERIPRISE ADVISOR SERVICES, INC.
August 30, 1993 - September 23, 1993
H.J. MEYERS & CO., INC.
July 13, 1993 - August 6, 1993
HIBBARD BROWN & 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 8
Date: 2/12/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TECTONIC CAPITAL ADVISORS, LLC
CRD#: 339604 / SEC#: 801-134938
Contact information
SEC notice filing (1 States and Territories)
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.
