Timothy P. 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.
Timothy Pius Manning was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1987. Timothy had worked at 15 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2012 - December 14, 2012
MAXIM GROUP LLC
August 1, 2008 - February 28, 2012
LEERINK PARTNERS LLC
March 5, 2007 - August 21, 2008
THE BENCHMARK COMPANY, LLC
October 12, 2005 - March 1, 2007
DOMINARI SECURITIES LLC
July 8, 2004 - October 17, 2005
ABEL/NOSER CORP.
January 14, 2004 - January 30, 2004
WHITAKER SECURITIES LLC
October 16, 2002 - January 6, 2004
NORTHEAST SECURITIES, LLC
January 2, 2002 - October 28, 2002
LADENBURG CAPITAL MANAGEMENT INC.
January 2, 2001 - January 2, 2002
LADENBURG THALMANN & CO. INC.
September 15, 1999 - December 6, 2000
WEATHERLY SECURITIES CORPORATION
July 31, 1998 - September 28, 1999
CIBC WORLD MARKETS CORP.
May 24, 1996 - July 17, 1998
WEATHERLY SECURITIES CORPORATION
February 9, 1993 - May 16, 1996
UBS FINANCIAL SERVICES INC.
February 12, 1991 - February 17, 1993
GRUNTAL & CO., L.L.C.
December 19, 1989 - February 20, 1991
CITIGROUP GLOBAL MARKETS INC.
April 4, 1988 - January 15, 1990
CIBC WORLD MARKETS CORP.
January 1, 1988 - February 20, 1991
CITIGROUP GLOBAL MARKETS INC.
August 7, 1987 - December 9, 1987
WEATHERLY SECURITIES CORPORATION
July 31, 1987 - August 25, 1987
FIRST FIDELITY CAPITAL CORP.
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 55
Date: 9/7/2005
Limited Representative-Equity Trader ExamCurrent Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
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.
