David L. Mandra
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.
David L Mandra was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 7 firms and has passed the Series 63, SIE 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
January 28, 2013 - April 1, 2019
NATIONAL SECURITIES CORPORATION
October 14, 2011 - January 18, 2013
B. RILEY WEALTH MANAGEMENT
April 30, 2008 - October 19, 2011
NATIONAL SECURITIES CORPORATION
March 5, 2003 - May 2, 2008
JOSEPH STEVENS & CO., INC.
November 20, 2002 - March 10, 2003
J.P. TURNER & COMPANY, L.L.C.
October 3, 2002 - November 15, 2002
INTERNATIONAL SECURITIES CORPORATION
January 24, 2001 - September 18, 2002
PRIME CAPITAL SERVICES, INC.
August 23, 2000 - January 25, 2001
LCP CAPITAL CORP.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
