Edward A. 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.
Edward Albert Manuel, who also goes by Edward Albert Manuel III, Ned Manuel, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1983. Edward had worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2013 - January 29, 2025
JANNEY MONTGOMERY SCOTT LLC
October 3, 2013 - January 29, 2025
JANNEY MONTGOMERY SCOTT LLC
March 8, 2006 - October 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - October 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2005 - March 8, 2006
ADVEST, INC.
February 25, 2005 - March 8, 2006
ADVEST, INC.
July 1, 2003 - February 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - February 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 22, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 13, 1991 - March 16, 2000
UBS FINANCIAL SERVICES INC.
March 25, 1988 - April 18, 1988
FLEET BROKERAGE SERVICES, INC.
January 25, 1984 - December 15, 1987
E. F. HUTTON & COMPANY INC
June 1, 1983 - October 26, 1983
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
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 ExaminationCurrent Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
