Graham K. Mandl

SERENUS WEALTH ADVISORS

New York, NY

Some features on this profile are disabled

CRD#: 5946171

Professional summary

Graham K Mandl, who also goes by Graham Mandl, is a registered financial advisor currently at SERENUS WEALTH ADVISORS, LLC located in New York, New York.

Graham is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Graham has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Graham Mandl

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.

I*1034257 For profit or not for profit: Entity For Profit Name of outside business organization: Koma77 LLC Investment related: N Address of business: Amagansett, New York, 11930 Nature of business: ["Limited Liability Company"] Position, title, association: ["Other"], Start date of relationship: 10/13/2022 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: i was asked to be manger under an LLC, KOMA77, which was set up by my mother to purchase a home in Amagansett

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Graham K Mandl'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

December 4, 2024 - Present

SERENUS WEALTH ADVISORS, LLC

RIA

CRD#: 332034

New York, NY

Past

June 2, 2023 - December 20, 2024

CERTUITY, LLC

RIA

CRD#: 129505

New York, NY

Past

April 15, 2014 - June 5, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

February 25, 2014 - June 5, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 15, 2013 - November 11, 2013

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

SERENUS WEALTH ADVISORS, LLC

KARACO, LLC | SERENUS WEALTH ADVISORS, LLC

CRD#: 332034 / SEC#: 801-130660

RIA

Registered Investment Advisory firm - (7/12/2024 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

California
(2/12/2025)

IAR

New York
(12/4/2024)

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

State Security Law Exam

IAR

Series 66

Date: 4/11/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/14/2013

General Securities Representative Examination

Current Firm

SERENUS WEALTH ADVISORS, LLC

KARACO, LLC | SERENUS WEALTH ADVISORS, LLC

CRD#: 332034 / SEC#: 801-130660

RIA

Registered Investment Advisory firm - (7/12/2024 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1299 Ocean Ave Suite 710, Santa Monica, CA 90401

Mailing Address

Phone number

(917) 539-2411

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE - MARCH 2025 (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,354
AUM (Assets Under Management)	$ 1,322,601,882

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/26/2025	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Graham K. Mandl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Graham K Mandl's CRS (Customer Relationship Summary).

Certified licenses

Experience

CERTUITY, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

SERENUS WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2014

SIE

Date: 10/1/2018

Series 7

Date: 6/14/2013

Current Firm

SERENUS WEALTH ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SERENUS WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors