George E. Mangelsdorf

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CRD#: 2837363

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.

George Edward Mangelsdorf III, who also goes by George Edward Mangelsdorf, Trey Mangelsdorf, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1997. George had worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

George Edward Mangelsdorf | Trey Mangelsdorf

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 13, 2023 - June 26, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

November 11, 2021 - February 10, 2023

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

July 9, 2015 - October 19, 2021

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

September 19, 2013 - October 20, 2014

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

RESTON, VA

Past

February 3, 2012 - March 11, 2013

SANDERS MORRIS LLC

CRD#: 20580

FAIRFAX, VA

Past

July 11, 2006 - February 3, 2012

FIRST INTERNET SECURITIES NETWORK

CRD#: 18498

BETHESDA, MD

Past

February 21, 2006 - June 30, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 16, 2004 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

February 27, 2002 - July 3, 2002

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

September 27, 1999 - July 20, 2000

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

April 22, 1999 - August 26, 1999

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

September 5, 1997 - April 6, 1999

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA

Registered Investment Advisory firm - SEC (12/10/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/25/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NML EQUITY SERVICES, INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC.

CRD#: 2881 / SEC#: 801-8095, 8-14088

RIA

Registered Investment Advisory firm - SEC (12/10/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797

Mailing Address

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797

Phone number

(414) 271-1444

Established

Wisconsin since 06/10/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

2,577

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NMIS DISCLOSURE BROCHURE 3.31.2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY	SOLE MEMBER
ALBERS, BRETT BERNARD	TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL	6669890
DOLL, QUENTIN MICHAEL	VICE PRESIDENT - RISK PRODUCTS	6776231
EULL, BRADLEY LEAHY	SECRETARY	2969269
KALINOWSKI, DAWN MARIE	VICE PRESIDENT - CHIEF OPERATIONS OFFICER	2770565
LUND, NICOLE ELLEN	VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER	4646907
SCHULTZ, DEBORAH ALLISON	VICE PRESIDENT AND CHIEF RISK OFFICER	7440134
TOMCZAK, BONNIE LYNN	VICE PRESIDENT - WEALTH	2966038
VALTERS, LAILA M	PRESIDENT AND CEO	3010005

Disclosures

Regulatory Event	10
Arbitration	1

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.

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George E. Mangelsdorf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERITAS INVESTMENT COMPANY, LLC

MISSIONSQUARE INVESTMENT SERVICES

RAYMOND JAMES FINANCIAL SERVICES, INC.

SANDERS MORRIS LLC

FIRST INTERNET SECURITIES NETWORK

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

FORESIDE FUNDS DISTRIBUTORS LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

PERSHING LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/3/1997

SIE

Date: 10/1/2018

Series 6

Date: 8/25/1997

Current Firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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