James M. Mandel
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.
James Michael Mandel, who also goes by James M Mandel, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2013 - May 5, 2015
KESTRA INVESTMENT SERVICES, LLC
March 4, 2013 - May 5, 2015
KESTRA INVESTMENT SERVICES, LLC
May 13, 1997 - January 17, 2013
G & W EQUITY SALES, INC.
March 3, 1994 - January 17, 2013
G & W EQUITY SALES, INC.
April 23, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 23, 1986 - August 18, 1994
OSAIC FA, INC.
April 23, 1986 - June 12, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 27, 1982 - September 15, 1994
HIMCO DISTRIBUTION SERVICES COMPANY
March 6, 1979 - April 23, 1986
PROVIDENT MARKETING CORPORATION
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 1
Date: 3/1/1979
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
