Richard J. 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.
Richard John Manning, who also goes by Richard G Manning, Richard J Manning, Richard Manning, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1986. Richard had worked at 5 firms and has passed the Series 63, Series 3, Series 7, Series 4 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
January 11, 1996 - August 6, 1996
BROOKSTREET SECURITIES CORPORATION
June 28, 1993 - October 5, 1995
WALNUT STREET SECURITIES, INC.
December 5, 1992 - July 7, 1993
BROOKSTREET SECURITIES CORPORATION
August 17, 1992 - December 8, 1992
BEACONSFIELD FINANCIAL SERVICES, INC.
March 24, 1992 - August 6, 1992
WALNUT STREET SECURITIES, INC.
September 26, 1991 - December 24, 1991
CAPITAL BROKERAGE CORPORATION
February 4, 1986 - January 1, 1990
MORGAN STANLEY DW 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
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
