Robert L. Mandeville
Professional summary
Robert Lee Mandeville was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert Lee Mandeville, who also goes by Robert L Mandeville, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1995. Robert had worked at 5 firms and has passed the Series 65, Series 63 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
May 27, 2008 - June 23, 2009
SECURIAN FINANCIAL SERVICES, INC.
May 21, 2008 - June 23, 2009
SECURIAN FINANCIAL SERVICES, INC.
April 2, 2007 - March 10, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - March 10, 2008
MORGAN STANLEY & CO. LLC
January 7, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
January 7, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
November 30, 2001 - January 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2001 - January 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 1999 - November 21, 2001
CITIGROUP GLOBAL MARKETS INC.
November 9, 1995 - January 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
