Unclaimed Profile

Stephen Michael Mangold

SANDERS MORRIS, LLC·HOUSTON, Texas

SIE, Series 4, Series 7, Series 8, Series 9, Series 10, Series 24, Series 63, Series 65ChFC23 years registeredSANDERS MORRIS, LLC

600 TRAVIS, HOUSTON, TX 77002-3003CRD# 2359974Firm CRD# 20580

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen Michael Mangold · HOUSTON, TX

Registration

CRD #2359974 · SANDERS MORRIS, LLC · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SANDERS MORRIS, LLC

TECTONIC CAPITAL ADVISORS, LLC

Dec 2025 – Feb 2026

HOUSTON, TX

SANDERS MORRIS LLC

Nov 2019 – Feb 2026

HOUSTON, TX

TECTONIC ADVISORS LLC

Nov 2019 – Jan 2026

FRISCO, TX

NEXT FINANCIAL GROUP, INC.

Sep 2016 – Oct 2019

HOUSTON, TX

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Feb 2014 – Sep 2016

El Segundo, CA

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Oct 2007 – Jan 2014

HOUSTON, TX

AMERIPRISE FINANCIAL SERVICES, INC.

Jul 2006 – Sep 2007

SAN DIEGO, CA

NFP SECURITIES, INC.

Mar 2005 – Mar 2005

AUSTIN, TX

SOUTHWEST SECURITIES, INC.

Nov 2003 – May 2004

DALLAS, TX

E*TRADE ADVISORY SERVICES, INC.

Nov 2002 – Jun 2003

FRISCO, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 8

Series 9

Series 10

Series 24

Series 63

Series 65

Registration record

First registered · November 1, 2002

Years registered · 23

Professional designation · ChFC

Disclosure History

2025Customer Dispute·Pending

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SANDERS MORRIS LLC

CRD 20580 · SEC 801-66300

AUM

$820M

Regulatory assets under management

Employees

729 client accounts

Services offered by SANDERS MORRIS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at SANDERS MORRIS LLC →

Introduction

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Frequently Asked Questions

What services does Stephen Michael Mangold offer?

Stephen Michael Mangold specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Stephen Michael Mangold's credentials?

Stephen Michael Mangold holds the following professional designations: ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Stephen Michael Mangold located?

Stephen Michael Mangold is based in HOUSTON, Texas, last registered with SANDERS MORRIS, LLC.

How does Stephen Michael Mangold charge for services?

Stephen Michael Mangold's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SANDERS MORRIS, LLC?

SANDERS MORRIS, LLC has approximately 28 employees and manages $820M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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