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DM

Dennis B. Mandel

REGAL SECURITIES
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 318425
DM

Professional summary

Dennis Barry Mandel is a registered financial professional currently at REGAL SECURITIES, INC. located in Milwaukee, Wisconsin.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 1970. Dennis has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 5, PC, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Dennis Barry Mandel's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 23, 2005 - Present

REGAL SECURITIES, INC.

Office #1: 250 Wisconsin Ave. Suite 1500, Milwaukee, WI 53202
BD
CRD#: 7297
Milwaukee, WI
Past

October 1, 2002 - May 17, 2005

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

August 30, 1993 - October 1, 2002

LISS FINANCIAL SERVICES

BD
CRD#: 21950
MILWAUKEE, WI
Past

July 31, 1993 - August 26, 1993

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 1, 1981 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 18, 1980 - January 22, 1981

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

March 3, 1972 - November 11, 1972

BRAUN, MONROE AND COMPANY

BD
CRD#: 107
Past

July 10, 1970 - November 28, 1972

FIRST MIDWEST INVESTMENT CORP.

BD
CRD#: 3363

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Wisconsin
(5/23/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 8/5/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/26/1983
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
PC
Date: 3/11/1981
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 3/12/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 1/14/1970
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

RS
REGAL SECURITIES, INC.
E-OPTION | SUCCESS TRADER | REGAL WEALTH MANAGEMENT, INC. | REGAL SECURITIES, INC. | REGAL DISCOUNT SECURITIES, INC. | REGAL DISCOUNT SECURITIES | INVESTRADE DISCOUNT SECURITIES | HEARTLAND SECURITIES, INC.

CRD#: 7297 / SEC#: , 8-21765

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

Main Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025
Mailing Address
950 Milwaukee Ave. Suite 102, Glenview, IL 60025-3766
Phone number
(800) 786-9000
Established
Illinois since 05/06/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOKIOS, GEORGECHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER718774
VILLAFLOR, ROBERT FUSTERSHAREHOLDER2374555
AKSOMITAITE, SKAISTEVICE PRESIDENT AND FINOP4852873
BOKIOS, EUGENIA THEADORA MSSENIOR VICE PRESIDENT & GENERAL COUNSEL2392199
BOKIOS, VICTORIA THEADORATREASURER/SECRETARY2421318
ENGELBRECHT, JEREMY AARONCHIEF COMPLIANCE OFFICER (INTERIM)3277607
HERRIN, SHAWN EVERETTPRESIDENT2311476

Disclosures

Regulatory Event11
Arbitration4

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.

Company Information

REGAL SECURITIES, INC.

CRD#: 7297Milwaukee, WI 53202

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