David Ryan Mandel
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
FRANCIS INVESTMENT COUNSEL LLC | FRANCIS LLC | FRANCIS INVESTMENT COUNSEL, LLC
Contact Information
Main Address
19435 W. Capitol Drive, Brookfield, WI 53045Phone Number
(866) 232-6457# of Employees
26SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
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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.
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Primary Firm SEC Registration
FRANCIS INVESTMENT COUNSEL LLC | FRANCIS LLC | FRANCIS INVESTMENT COUNSEL, LLC
State Registrations and Notice Filings
(12/5/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2006About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view David Ryan Mandel's CRS (Customer Relationship Summary).
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