Marc S. Mandel
Professional summary
Marc Steven Mandel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marc is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Marc had worked at 7 firms, which includes SUTRO & CO. INCORPORATED, INTEGRATED RESOURCES EQUITY CORPORATION, FOCUS SECURITIES INC., MORGAN STANLEY DW INC., KIDDER PEABODY & CO. INCORPORATED, E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 1988 - November 28, 1989
SUTRO & CO. INCORPORATED
August 4, 1986 - February 29, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
August 14, 1984 - August 20, 1986
FOCUS SECURITIES, INC.
October 6, 1980 - July 30, 1984
MORGAN STANLEY DW INC.
May 19, 1978 - October 25, 1980
KIDDER, PEABODY & CO. INCORPORATED
June 8, 1976 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
November 20, 1975 - June 21, 1976
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SUTRO & CO. INCORPORATED
CRD#: 801 / SEC#: , 8-15491
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SUTRO GROUP | HOLDING CO. / SUTRO & CO. | |
| DELANEY, MARY JANE | EXECUTIVE VICE PRESIDENT / GENERAL COUNSEL / SECRETARY | 1194845 |
| HUBBARD, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT/DIRECTOR | 846511 |
| LUIKART, JOHN FORD | CEO | 314209 |
| MATSUI, ROGER NAOKI | CHIEF FINANCIAL OFFICER | 1672347 |
| MCCARTHY, DENIS JOSEPH | DIRECTOR OF COMPLIANCE REGULATORY AFFAIRS | 1415768 |
| PHILLIPS, JERRY DON | EXECUTIVE VICE PRESIDENT | 1308109 |
| TUCKER ANTHONY SUTRO INCORPORATED | PARENT COMPANY | |
| WILLFONG, DONALD JAMES | DIRECTOR | 467416 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 1 |
| Bond | 1 |
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.
