Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Mangold is a financial advisor registered with Sanders Morris LLC and Tectonic Advisors LLC. Stephen Mangold is a financial advisor with over 25 years of experience in the financial services industry. Stephen Mangold has held positions with various firms including Northwestern Mutual Investment Services, LLC, Ameriprise Financial Services, Inc., and Fidelity Brokerage Services, Inc. Stephen Mangold is a Chartered Financial Consultant and holds Series 4, 7, 8, 9, 10, 24, 63, and 65 licenses. Stephen Mangold specializes in providing financial planning, portfolio management, and investment advisory services to individuals, high-net-worth individuals, and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TX
11/01/2019 - Present
Sanders Morris LLC (HOUSTON TX)
TX
09/20/2016 - 10/31/2019
NEXT FINANCIAL GROUP, INC. (HOUSTON TX)
CA
02/10/2014 - 09/26/2016
NATIONAL PLANNING CORPORATION (El Segundo CA)
TX
10/25/2007 - 01/31/2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (HOUSTON TX)
CA
07/05/2006 - 09/05/2007
AMERIPRISE FINANCIAL SERVICES, INC. (SAN DIEGO CA)
TX
03/25/2005 - 03/31/2005
NFP SECURITIES, INC. (AUSTIN TX)
TX
11/18/2003 - 05/04/2004
SOUTHWEST SECURITIES, INC. (DALLAS TX)
NJ
04/15/2002 - 06/11/2003
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
MO
07/21/2000 - 03/25/2002
SCOTTRADE, INC. (ST. LOUIS MO)
NE
10/27/1995 - 07/17/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
RI
07/10/1995 - 09/11/1995
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
06/01/1994 - 08/17/1994
QUICK & REILLY, INC. (NEW YORK NY)
MI
10/21/1993 - 02/15/1994
OLDE DISCOUNT CORPORATION (DETROIT MI)
NY
08/30/1993 - 09/23/1993
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
NY
07/13/1993 - 08/06/1993
HIBBARD BROWN & CO., INC. (NEW YORK NY)
IA
Issued 10/01/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/22/2003
Series 4 - Registered Options Principal Examination
BC
Issued 11/17/2000
Series 24 - General Securities Principal Examination
BC
Issued 02/12/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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