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EM

Ely J. Mandell

Some features on this profile are disabled
CRD#: 714232
EM

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.

Ely Jay Mandell was a registered financial professional .

Ely is a previously registered financial professional and started their career in finance in 1980. Ely had worked at 14 firms and has passed the Series 63, Series 3, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
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

December 19, 1990 - March 7, 1991

BURNETT, GREY & CO., INC.

BD
CRD#: 23430
ATLANTA, GA
Past

January 29, 1990 - January 30, 1991

WAINWRIGHT, AUSTIN, STONE & CO.

BD
CRD#: 10634
Past

May 11, 1989 - May 15, 1990

WAINWRIGHT SECURITIES, LTD.

BD
CRD#: 22529
Past

August 11, 1988 - January 3, 1989

WAINWRIGHT SECURITIES, LTD.

BD
CRD#: 22529
Past

May 17, 1988 - June 3, 1988

JOHNSON & JOUNET SECURITIES

BD
CRD#: 10628
Past

February 26, 1988 - May 24, 1988

JEFFERSON INTERNATIONAL INVESTMENT COMPANY

BD
CRD#: 17230
Past

December 15, 1986 - March 17, 1987

AMERICAN CAPITAL EQUITIES, INC.

BD
CRD#: 13272
Past

August 28, 1986 - November 14, 1986

WEDBUSH SECURITIES INC.

BD
CRD#: 877
Past

May 19, 1986 - September 9, 1986

SUTRO & CO. INCORPORATED

BD
CRD#: 801
Past

April 27, 1985 - April 19, 1986

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

January 18, 1985 - April 22, 1985

CRALIN & CO., INC.

BD
CRD#: 7605
Past

December 28, 1983 - December 14, 1984

CANTOR FITZGERALD & CO.

BD
CRD#: 134
Past

December 30, 1981 - January 19, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

October 1, 1980 - February 1, 1982

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

August 22, 1980 - December 14, 1980

C. A. BOTZUM & CO.

BD
CRD#: 123

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
RR
Series 63
Date: 8/17/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 4/21/1983
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/30/1988
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/26/1988
General Securities Principal Examination

Current Firm

BG
BURNETT, GREY & CO., INC.
BURNETT, GREY & CO., INC.

CRD#: 23430 / SEC#: , 8-38597

BD
Revoked by SEC on 03/15/1995
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 08/11/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

BURNETT, GREY & CO., INC.

CRD#: 23430

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