Steve Mangold
Professional summary
Steve Mangold, who also goes by Stephen Michael Mangold, is a registered financial professional currently at PNC WEALTH MANAGEMENT LLC located in Houston, Texas.
Steve is registered as a RR (Registered Representative) and started their career in finance in 1993. Steve has worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 4, Series 24 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steve Mangold's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 5, 2026 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 2200 Post Oak Blvd, Houston, TX 77056December 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.
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
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)FINRA
Current Firm
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/08/2026 | ||
| 10/28/2024 | ||
| 09/20/2023 |
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.
