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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)33 years in industry

STEVE MANGOLD

Advisor at PNC WEALTH MANAGEMENT

HOUSTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Nov 1, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PNC WEALTH MANAGEMENT
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 20, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Consultant
Exams: S65|S63
First exam: Jul 20, 1993
First registration: Nov 1, 2002
Dual registered: yes, broker-dealer
Other names: STEVE MANGOLD|STEPHEN MICHAEL MANGOLD
IAPD individual key: 2359974

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Aug 10, 2026	n/a	yes	HOUSTON, TX	Current employment
TECTONIC CAPITAL ADVISORS, LLC	Independent wealth	Dec 17, 2025	Feb 6, 2026	no	HOUSTON, TX	Previous registration
TECTONIC ADVISORS LLC	Independent wealth	Nov 1, 2019	Jan 8, 2026	no	FRISCO, TX	Previous registration
SANDERS MORRIS LLC	Independent wealth	Nov 1, 2019	Feb 6, 2026	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Sep 20, 2016	Oct 31, 2019	no	HOUSTON, TX	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Feb 10, 2014	Sep 26, 2016	no	El Segundo, CA\|ENGLEWOOD, CO\|DENVER, CO	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Oct 26, 2007	Jan 31, 2014	no	HOUSTON, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 6, 2006	Sep 5, 2007	no	IRVINE, CA	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Mar 21, 2005	Mar 31, 2005	no	AUSTIN, TX	Previous registration
HILLTOP SECURITIES INC.	Bd affiliated wealth	Nov 18, 2003	May 4, 2004	no	DALLAS, TX	Previous registration
E*TRADE ADVISORY SERVICES, INC.	n/a	Nov 1, 2002	Jun 11, 2003	no	FRISCO, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SANDERS MORRIS LLC	TECTONIC CAPITAL ADVISORS, LLC	Feb 6, 2026	Dec 17, 2025	-51	Firm change after gap	RIA to new firm
TECTONIC CAPITAL ADVISORS, LLC	PNC WEALTH MANAGEMENT	Feb 6, 2026	Aug 10, 2026	185	Firm change	Other
TECTONIC ADVISORS LLC	SANDERS MORRIS LLC	Jan 8, 2026	Nov 1, 2019	-2,260	Firm change after gap	RIA to RIA
NEXT FINANCIAL GROUP, INC.	TECTONIC ADVISORS LLC	Oct 31, 2019	Nov 1, 2019	1	Firm change	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	NEXT FINANCIAL GROUP, INC.	Sep 26, 2016	Sep 20, 2016	-6	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Jan 31, 2014	Feb 10, 2014	10	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Sep 5, 2007	Oct 26, 2007	51	Firm change	Other
NFP ADVISOR SERVICES, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 31, 2005	Jul 6, 2006	462	Firm change after gap	Other
HILLTOP SECURITIES INC.	NFP ADVISOR SERVICES, LLC	May 4, 2004	Mar 21, 2005	321	Firm change	Other
E*TRADE ADVISORY SERVICES, INC.	HILLTOP SECURITIES INC.	Jun 11, 2003	Nov 18, 2003	160	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
139713:20580:TX:2026-01-08	Jan 8, 2026	Nov 1, 2019	FRISCO, TX	Firm change after gap

Relationships

Registered with (11)

→ PNC WEALTH MANAGEMENTRegistered adviserregistration: current employment
Aug 10, 2026 to presentfactForm ADV
→ SANDERS MORRIS LLCRegistered adviserregistration: previous registration
Nov 1, 2019 to Feb 6, 2026factForm ADV
→ TECTONIC CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 17, 2025 to Feb 6, 2026factForm ADV
→ TECTONIC ADVISORS LLCRegistered adviserregistration: previous registration
Nov 1, 2019 to Jan 8, 2026factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Sep 20, 2016 to Oct 31, 2019factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Feb 10, 2014 to Sep 26, 2016factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Oct 26, 2007 to Jan 31, 2014factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 6, 2006 to Sep 5, 2007factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Mar 21, 2005 to Mar 31, 2005factForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Nov 18, 2003 to May 4, 2004factForm ADV
→ E*TRADE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Nov 1, 2002 to Jun 11, 2003factForm ADV

Dated events

Occurred
Feb 6, 2026
Advisor changed firm
Steve Mangold left Tectonic Capital Advisors, Llc for Pnc Wealth Management (registered 2026-08-10)
Form ADVobserved 4 days ago
Occurred
Feb 6, 2026
Advisor changed firm
Steve Mangold left Sanders Morris Llc for Tectonic Capital Advisors, Llc (registered 2025-12-17)
Form ADVobserved 4 days ago
Occurred
Jan 8, 2026
Advisor changed firm
Steve Mangold left Tectonic Advisors Llc for Sanders Morris Llc (registered 2019-11-01)
Form ADVobserved 4 days ago