Walter J. Manns

KLOPP INVESTMENT MANAGEMENT LLC

CLEVELAND, OH 44114-3103

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CRD#: 1397547

Professional summary

Walter John Manns JR, who also goes by Wally Manns Jr, Walter John Manns, is a registered financial advisor currently at KLOPP INVESTMENT MANAGEMENT LLC located in Cleveland, Ohio.

Walter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Walter has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wally Manns Jr | Walter John Manns

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.

Real Estate Agent Start 04/2013 Lake Realty Ohio 14902 Lake Avenue Lakewood, OH 44107 Weekends; 5 hours per week during workweek

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter John Manns JR's CRS (Customer Relationship Summary).

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

Current

December 8, 2016 - Present

KLOPP INVESTMENT MANAGEMENT LLC

Office #1: 1801 E 9th St Ste 1040, Cleveland, OH 44114-3103

RIA

CRD#: 106145

CLEVELAND, OH

Past

March 4, 2011 - October 28, 2016

L&M FINANCIAL SERVICES

CRD#: 26247

PARMA, OH

Past

May 19, 2009 - February 13, 2014

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

RIA

CRD#: 134008

ROCKY RIVER, OH

Past

August 6, 2008 - March 4, 2011

CAPITAL CITY SECURITIES, LLC

CRD#: 146001

ROCKY RIVER, OH

Past

March 6, 2007 - December 11, 2009

REGIS ASSET MANAGEMENT LLC

RIA

CRD#: 125872

WESTERVILLE, OH

Past

February 23, 2007 - September 24, 2008

REGIS SECURITIES CORPORATION

CRD#: 103711

WESTERVILLE, OH

Past

June 6, 2006 - February 23, 2007

FINANCIAL AMERICA SECURITIES, INC.

CRD#: 5100

CLEVELAND, OH

Past

January 13, 2005 - June 5, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WESTLAKE, OH

Past

June 17, 2004 - June 5, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 13, 2001 - May 11, 2004

FINANCIAL AMERICA SECURITIES, INC.

CRD#: 5100

CLEVELAND, OH

Past

November 6, 1995 - November 7, 2001

FINANCIAL AMERICA SECURITIES, INC.

CRD#: 5100

CLEVELAND, OH

Past

June 20, 1994 - November 10, 1995

CENTENNIAL SECURITIES COMPANY, INC.

CRD#: 7763

GRAND RAPIDS, MI

Past

October 11, 1992 - June 24, 1994

RONEY & CO. L.L.C.

CRD#: 900

DETROIT, MI

Past

March 15, 1989 - September 29, 1992

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

January 22, 1988 - March 16, 1989

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

Past

October 30, 1986 - February 25, 1988

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

Past

August 21, 1985 - November 19, 1986

MML INVESTORS SERVICES, LLC

CRD#: 10409

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(12/8/2016)

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: 7/29/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/3/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative Examination

Current Firm

KLOPP INVESTMENT MANAGEMENT LLC

FIRST FINANCIAL INVESTMENT MANAGEMENT | PRIM ASSET MANAGEMENT LLC | PRIM ASSET MANAGEMENT | KLOPP INVESTMENT MANAGEMENT LLC

CRD#: 106145 / SEC#: 801-52887

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

Georgia

Registered Investment Advisory firm - (12/14/2012 Approved)

Illinois

Registered Investment Advisory firm - (12/20/2017 Approved)

North Carolina

Registered Investment Advisory firm - (3/31/2016 Terminated)

Ohio

Registered Investment Advisory firm - (6/28/2012 Approved)

Texas

Registered Investment Advisory firm - (5/9/2025 Conditional Restricted)

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).

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Contact information

Main Address

1801 E 9th St Ste 1040, Cleveland, OH 44114-3103

Mailing Address

Phone number

(216) 566-1100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	174
AUM (Assets Under Management)	$ 108,346,208

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

Walter J. Manns

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter John Manns JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

L&M FINANCIAL SERVICES

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

CAPITAL CITY SECURITIES, LLC

REGIS ASSET MANAGEMENT LLC

REGIS SECURITIES CORPORATION

FINANCIAL AMERICA SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

FINANCIAL AMERICA SECURITIES, INC.

FINANCIAL AMERICA SECURITIES, INC.

CENTENNIAL SECURITIES COMPANY, INC.

RONEY & CO. L.L.C.

FINANCIAL SQUARE PARTNERS

CAPITAL BROKERAGE CORPORATION

AETNA LIFE INSURANCE AND ANNUITY COMPANY

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/2004

Series 63

Date: 5/17/1993

SIE

Date: 10/28/2016

Series 31

Date: 11/3/2004

Series 7

Date: 8/17/1985

Current Firm

KLOPP INVESTMENT MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KLOPP INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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