Vicki L. Manning
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.
Vicki Lee Manning, CFP®, who also goes by VIcki Lee Havens, Vicki Manning, was a registered financial professional .
Vicki is a previously registered financial professional and started their career in finance in 1982. Vicki had worked at 7 firms and has passed the Series 63, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2011 - December 21, 2012
NEWPORT COAST SECURITIES, INC.
February 28, 2011 - December 21, 2012
NEWPORT COAST SECURITIES, INC.
January 31, 2007 - February 27, 2009
KESTRA INVESTMENT SERVICES, LLC
January 12, 2007 - February 27, 2009
KESTRA INVESTMENT SERVICES, LLC
March 9, 2005 - February 22, 2006
ALLSTATE FINANCIAL SERVICES, LLC
September 11, 1994 - July 15, 2004
CHARLES SCHWAB & CO., INC.
September 5, 1986 - December 7, 1993
FIDELITY BROKERAGE SERVICES LLC
February 21, 1986 - April 29, 1986
HALL SECURITIES CORPORATION
February 3, 1984 - January 8, 1986
SOUTH CENTRAL SECURITIES, INC.
November 23, 1982 - April 27, 1983
SOUTH CENTRAL SECURITIES, INC.
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 8
Date: 8/3/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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