Duane B. Manning

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CRD#: 1222869

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.

Duane Bryan Manning was a registered financial professional .

Duane is a previously registered financial professional and started their career in finance in 1983. Duane had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 10, 2018 - October 16, 2020

V. M. MANNING & CO., INC.

RIA

CRD#: 2655

GREENVILLE, SC

Past

May 19, 2014 - March 23, 2015

SANDLAPPER SECURITIES, LLC

CRD#: 137906

GREENVILLE, SC

Past

May 4, 2007 - May 12, 2014

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

GREENVILLE, SC

Past

August 29, 2003 - May 15, 2007

SCOTT & STRINGFELLOW, LLC

RIA

CRD#: 6255

GREENVILLE, SC

Past

March 7, 2001 - May 15, 2007

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

GREENVILLE, SC

Past

April 13, 1988 - March 7, 2001

EDGAR M. NORRIS & CO., INC.

CRD#: 2928

GREENSVILLE, SC

Past

December 22, 1983 - April 8, 1988

WEDBUSH SECURITIES INC.

CRD#: 877

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

V. M. MANNING & CO., INC.

V. M. MANNING & CO., INC. | V.M. MANNING & CO., INC.

CRD#: 2655 / SEC#: 801-133006, 8-8680

RIA

Registered Investment Advisory firm - SEC (6/16/2025 Approved)

North Carolina

Registered Investment Advisory firm - SEC (10/26/2004 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Terminated by SEC on 02/01/2025

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/4/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/23/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Current Firm

V. M. MANNING & CO., INC.

V. M. MANNING & CO., INC. | V.M. MANNING & CO., INC.

CRD#: 2655 / SEC#: 801-133006, 8-8680

RIA

Registered Investment Advisory firm - SEC (6/16/2025 Approved)

North Carolina

Registered Investment Advisory firm - SEC (10/26/2004 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Terminated by SEC on 02/01/2025

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Contact information

Main Address

211 E. Washington St Suite B, Greenville, SC 29601

Mailing Address

Phone number

(864) 232-8231

Established

South Carolina since 05/04/1960

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

V M MANNING & CO., INC. ADV-2A BROCHURE (7/14/2025)

Direct owners and executive officers

Name	Position	CRD#
ARRINGTON, NELSON BATTLE JR	CHAIRMAN OF THE BOARD, MUNI PRINCIPAL, CHIEF COMPLIANCE OFFICER OF B-D	7784
ARRINGTON, NELSON BATTLE III	PRESIDENT/DIRECTOR/CEO/CCO OF IA	2393329
WYNKOOP, HELEN ARRINGTON	TREASURER/CFO/DIRECTOR/FINOP	1629145

Regulatory assets under management

Total Number of Accounts	122
AUM (Assets Under Management)	$ 115,462,603

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Duane B. Manning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SANDLAPPER SECURITIES, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

EDGAR M. NORRIS & CO., INC.

WEDBUSH SECURITIES INC.

Primary Firm SEC Registration

V. M. MANNING & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/2018

Series 63

Date: 7/5/1986

SIE

Date: 3/23/2015

Series 7

Date: 12/17/1983

Current Firm

V. M. MANNING & CO., INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

V. M. MANNING & CO., INC.

TRUST BUT VERIFY

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