Michael W. Mandel
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.
Michael Walter Mandel, who also goes by Michael Mantel, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 4 firms and has passed the Series 66, 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 4, 2016 - July 31, 2023
RANDY NEUMANN WEALTH MANAGEMENT
December 8, 2015 - February 11, 2022
LPL FINANCIAL LLC
December 8, 2015 - February 11, 2022
LPL FINANCIAL LLC
August 13, 2008 - December 11, 2015
OSAIC WEALTH, INC.
August 8, 2008 - December 11, 2015
OSAIC WEALTH, INC.
August 19, 2005 - September 5, 2008
UBS FINANCIAL SERVICES INC.
July 1, 2005 - September 5, 2008
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
RANDY NEUMANN WEALTH MANAGEMENT
CRD#: 129381 / SEC#:
Contact information
Red Flags
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