Harold Mandell
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.
Harold Mandell, who also goes by Hal Mandell, Harold M Mandell, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1979. Harold had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2019 - May 24, 2023
M. E. ALLISON & CO., INC.
July 30, 2019 - July 31, 2019
M. E. ALLISON & CO., INC.
July 30, 2019 - May 24, 2023
M. E. ALLISON & CO., INC.
March 7, 2016 - July 31, 2019
NEXT FINANCIAL GROUP, INC.
March 4, 2016 - July 31, 2019
NEXT FINANCIAL GROUP, INC.
June 27, 2014 - March 4, 2016
SPC
June 27, 2014 - March 4, 2016
SIGMA FINANCIAL CORPORATION
May 18, 2010 - July 7, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - July 7, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 7, 2005 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
September 5, 1997 - October 10, 2005
WELLS FARGO CLEARING SERVICES, LLC
February 1, 1979 - September 9, 1997
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
M. E. ALLISON & CO., INC.
CRD#: 1047 / SEC#: 801-129805, 8-1402
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
Series 15
Date: 6/19/1985
Foreign Currency Options ExaminationSeries 5
Date: 3/12/1982
Interest Rate Options ExaminationCurrent Firm
M. E. ALLISON & CO., INC.
CRD#: 1047 / SEC#: 801-129805, 8-1402
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 405 |
| AUM (Assets Under Management) | $ 287,435,346 |
Disclosures
| Regulatory Event | 3 |
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.
