Michael J. Mancini

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CRD#: 5246534

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 J Mancini, who also goes by Michael Joseph Mancini Jr, Michael J Mancini Jr, Mike Mancini, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Joseph Mancini Jr | Michael J Mancini Jr | Mike Mancini

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 12, 2022 - October 31, 2023

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

January 12, 2022 - August 30, 2022

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

San Francisco, CA

Past

May 3, 2018 - September 20, 2021

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

San Francisco, CA

Past

August 13, 2015 - May 24, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 16, 2014 - June 19, 2015

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

NEW YORK, NY

Past

December 16, 2014 - June 19, 2015

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

NEW YORK, NY

Past

November 11, 2011 - December 8, 2014

ALPS DISTRIBUTORS, INC.

CRD#: 16853

SAN FRANCISCO, CA

Past

November 14, 2006 - July 15, 2011

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

WALNUT CREEK, CA

Past

November 14, 2006 - July 15, 2011

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

WALNUT CREEK, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/17/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/13/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASSETMARK BROKERAGE, LLC

CRD#: 169804 / SEC#: , 8-69391

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

1655 Grant Street 10th Floor, Concord, CA, 94520

Mailing Address

1655 Grant Street 10th Floor, Concord, CA, 94520

Phone number

(818) 528-3727

Established

Delaware since 09/25/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ASSETMARK FINANCIAL HOLDINGS, INC.	OWNER
HANSEN, CARRIE ELLEN	PRESIDENT/ MANAGING PRINCIPAL	4781315
KOVAL, JOHN HENRY	AML COMPLIANCE OFFICER/ CFO/ FINOP/ PFO/ POO	2468284
LAMBUTH, RYAN SCOTT	CHIEF COMPLIANCE OFFICER	5382199

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.

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Michael J. Mancini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST REPUBLIC SECURITIES COMPANY, LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

CITIGROUP GLOBAL MARKETS INC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

ALPS DISTRIBUTORS, INC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/20/2018

Series 6

Date: 11/13/2006

Current Firm

ASSETMARK BROKERAGE, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASSETMARK BROKERAGE, LLC

TRUST BUT VERIFY

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