DM
David R. Mandel
FRANCIS LLC
Brookfield, WI 53045
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CRD#: 4980051
DM
Professional summary
David Ryan Mandel is a registered financial advisor currently at FRANCIS LLC located in Brookfield, Wisconsin.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. David has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: St Croix Bike and Pedestrian Trail Coalition Investment Related: No Address: 1488 23rd st Houlton WI 54082 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: Chairman Start Date: 1/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Attend Meetings and events.Business Name: Arthur J Gallagher & Co Investment Related: Yes Address: 4225 White Bear Parkway St. Paul MN 55110 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Area Vice President Start Date: 2/1/2013 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Producer, service clients and relationship consultantBusiness Name: Town of Somerset, WI
Somerset Park and Recreation Committee
Somerset Town Hall Investment Related: No Address: P.O Box 248 Somerset WI 54025 Nature of Business: Community/Charitable/Civic Position, Title or Relationship: Citizen Member Start Date: 5/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: attend monthly meetings and work with other board members to identify topics to bring to the planning commission and Town BoardBusiness Name: Town of Somerset Investment Related: No Address: P.O. Box 248, 748 HWY 35 somerset WI 54025 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Citizen Member Start Date: 3/16/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Attend Monthly Planning commission meetings and work in a citizen member role to assist the Town Board in decisions affecting the residents of Somerset Township.Business Name: Health and Human Resources Association of Minnesota Investment Related: No Address: W175 N11117 Stonewood Drive, Suite 204 Germantown WI 53022 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Business Member Partner at Large Start Date: 1/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Attend Monthly Board meetings, Assist with semi annual conference planning
CRS (Client Relationship Summary) - RIA
Click below to view David Ryan Mandel's 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®
NoneExperience
Current
December 5, 2019 - Present
FRANCIS LLC
Office #1: 19435 W. Capitol Drive, Brookfield, WI 53045Office #2: 8530 Eagle Point Blvd Ste 225, Lake Elmo, MN 55042-8652RIA
CRD#: 130687
Brookfield, WI
Past
March 4, 2013 - February 4, 2019
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BLOOMINGTON, MN
Past
April 3, 2006 - January 17, 2013
G & W EQUITY SALES, INC.
BD
CRD#: 35356
ST. PAUL, MN
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".
FL
FRANCIS LLC
FRANCIS INVESTMENT COUNSEL LLC | FRANCIS LLC | FRANCIS INVESTMENT COUNSEL, LLC
CRD#: 130687 / SEC#: 801-62841
RIA
Registered Investment Advisory firm - (3/12/2004 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Minnesota(12/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FL
FRANCIS LLC
FRANCIS INVESTMENT COUNSEL LLC | FRANCIS LLC | FRANCIS INVESTMENT COUNSEL, LLC
CRD#: 130687 / SEC#: 801-62841
RIA
Registered Investment Advisory firm - (3/12/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
19435 W. Capitol Drive, Brookfield, WI 53045
Mailing Address
Phone number
(866) 232-6457
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (48 States and Territories)
Red Flags
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Company Information
FRANCIS LLC
CRD#: 130687Brookfield, WI 53045TRUST BUT VERIFY
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