EM
Elaine R. Manley
MUTUAL ADVISORS
SAN JOSE, CA 95110
Some features on this profile are disabled
CRD#: 1496459
EM
Professional summary
Elaine Rose Manley, CFP®, who also goes by Elaine Manley, Elaine Rose Sentir, is a registered financial advisor currently at MUTUAL ADVISORS, LLC located in San Jose, California and MUTUAL SECURITIES, INC. located in San Jose, California.
Elaine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Elaine has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elaine Manley | Elaine Rose Sentir
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.
1. INDEPENDENT INSURANCE AGENT, START DATE: 04/24/1986, 101 METRO DRIVE, SUITE 264, SAN JOSE, CA 95110, SOLE-PROPRIETOR, INSURANCE AGENT, OWNER, ADVISE CLIENTS ON INSURANCE AND HELP THEM IMPLEMENT SOLUTIONS, NOT INVESTMENT RELATED, 5 HOURS PER MONTH, 5 HOURS PER DAY DURING TRADING HOURS. 2. League of Woman voters of Cupertino-Sunnyvale, Start Date: 07/01/2019, 1075 Hampshire Ct, Sunnyvale, CA 94087, Corporation, Board of Directors for Non-Profit, Co-President, Run meetings, organize activities, speak on behalf of the League, Not Investment Related, 15 hours per month, 0 hours per day during trading hours. 3. Associates of Clifton Part, Start Date: 12/11/2018, 747 Pierce Rd., Clifton Park, NY 12065, Corporation, Insurance Sales Agent, Agent, Worked with AOCP to co-write Med Sup for one client, Not Investment Related, 0 Hours per month. 4. Jackson National Life Insurance Company, Start Date: 08/27/2018, 1 Corporate Way, Lansing, MI 48951, Corporation, Insurance Sales Agent, Agent, Life Insurance and Annuity sales and service, Not Investment Related, 0 Hours per month, 0 Hours per day during trading hours. 5. Financial Journey Partners, Inc., Start Date: 08/17/1998, 101 Metro Dr., Ste. 264, San Jose, CA 95110, S Corporation, Administrative Operations and Book Sales, President and Book Author, Manage income, expenses, tax reporting for the business, supervise research, technology, HR functions and write books to give to clients, prospects and the books are available for sales through Amazon, Not Investment Related, 13 Hours per month, 0 Hours per day during trading hours. 6. Book Writing and Sale, Start Date: 09/15/2023, 101 Metro Dr., Ste. 264, San Jose, CA 95110, Book written as owner of FJP, Book Sales, Co-Author of Book, Scott and I are writing books to give to clients and prospects and available for sale on Amazon, Investment Related, 1 Hour per month, 0 Hours per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Elaine Rose Manley'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®
CFP®
Start date: 1989
Experience
Current
August 22, 2018 - Present
MUTUAL ADVISORS, LLC
Office #1: 101 Metro Drive Suite 264, San Jose, CA 95110RIA
CRD#: 167658
SAN JOSE, CA
Current
August 22, 2018 - Present
MUTUAL SECURITIES, INC.
Office #1: 101 Metro Drive Suite 264, San Jose, CA 95110BD
CRD#: 13092
San Jose, CA
Past
July 8, 1997 - August 16, 2018
WADDELL & REED
RIA
CRD#: 866
CAMPBELL, CA
Past
April 24, 1986 - August 16, 2018
WADDELL & REED
BD
CRD#: 866
CAMPBELL, CA
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".
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
Registered Investment Advisory firm - (5/26/2013 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/22/2018)
IAR
California(8/22/2018)
RR
Hawaii(7/8/2022)
RR
Texas(7/29/2020)
IAR
Texas(8/11/2023)
RR
Washington(8/22/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
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Contact information
Main Address
9140 W Dodge Road Suite 230, Omaha, NE 68114
Mailing Address
Phone number
(307) 439-6357
Established
Firm type
Fiscal year end
# of Employees
189
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,515 |
| AUM (Assets Under Management) | $ 6,750,194,248 |
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.
