Jimmy C. Manuel
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.
Jimmy Carl Manuel, who also goes by Jim Manuel, was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1981. Jimmy had worked at 13 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 31, Series 15, Series 3, Series 7, Series 30, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2021 - February 11, 2026
EMERSON EQUITY LLC
August 19, 2021 - February 11, 2026
EMERSON EQUITY LLC
July 24, 2020 - July 1, 2021
WEALTH WATCH ADVISORS, INC
July 28, 2015 - December 31, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
March 1, 2010 - July 28, 2015
DYNASTY CAPITAL PARTNERS, INC.
January 15, 2008 - November 20, 2008
EPLANNING SECURITIES, INC.
June 29, 1999 - November 26, 2007
FINANCIAL WEST GROUP
August 18, 1998 - June 17, 1999
SECURITIES AMERICA, INC.
February 4, 1993 - July 28, 1998
FINANCIAL WEST GROUP
December 14, 1992 - January 30, 1993
KENNEDY, CABOT & CO.
April 30, 1991 - November 30, 1992
FINANCIAL WEST GROUP
February 11, 1991 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
June 9, 1988 - December 31, 1990
FINANCIAL WEST INVESTMENT GROUP
December 16, 1987 - May 31, 1988
MORGAN STANLEY DW INC.
August 7, 1985 - January 6, 1988
PRUDENTIAL EQUITY GROUP, LLC
March 30, 1984 - July 31, 1985
LEHMAN BROTHERS INC.
January 14, 1981 - July 6, 1984
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 15
Date: 12/28/1984
Foreign Currency Options ExaminationSeries 8
Date: 5/2/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (33 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 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.
