Joseph Mangan
Professional summary
Joseph Mangan, who also goes by Joseph C Mangan, Joseph Carl Mangan, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Phoenix, Arizona.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 4 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Mangan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2016 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2575 E Camelback Rd Suite 700, Phoenix, AZ 85016October 11, 2011 - February 17, 2016
M HOLDINGS SECURITIES, INC.
July 17, 2002 - October 18, 2002
CETERA ADVISORS LLC
February 24, 1998 - January 26, 2001
SIGNATOR INVESTORS, 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
(4/7/2016)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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