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JM

Joseph A. Mcmanus

CASTLEOAK SECURITIES, LP
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 1794587
JM

Professional summary

Joseph A Mcmanus, who also goes by Joseph Aaron Mcmanus, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Aaron Mcmanus

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) - BD

Click below to view Joseph A Mcmanus'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

February 4, 2009 - Present

CASTLEOAK SECURITIES, LP

Office #1: 200 Vesey St. Fl 04, New York, NY 10281
BD
CRD#: 125334
NEW YORK, NY
Past

April 2, 2007 - February 5, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

March 5, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

March 15, 1994 - February 9, 2007

MORGAN STANLEY MARKET PRODUCTS INC.

BD
CRD#: 19794
NEW YORK, NY
Past

March 15, 1994 - February 9, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

April 18, 1989 - December 14, 1990

CM&M FUTURES INC.

BD
CRD#: 15845
NEW YORK, NY
Past

January 28, 1988 - April 6, 1993

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY

State Registrations and Notice Filings

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

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
Nebraska
(3/28/2023)
RR
New York
(2/4/2009)
RR
Texas
(7/11/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CASTLEOAK SECURITIES, LP
BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP

CRD#: 125334 / SEC#: , 8-65786

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
200 Vesey Street Fl 04, New York, NY 10281
Mailing Address
200 Vesey St Fl 04, New York, NY 10281
Phone number
(646) 521-6700
Established
Delaware since 07/01/2004
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JONES, DAVID RODERICKCHIEF EXECUTIVE OFFICER2389684
CASTLEOAK MANAGEMENT, LLCGENERAL PARTNER
GOMEZ, LUIS JFINOP AND PRINCIPAL FINANCIAL OFFICER4974439
IPPOLITO, PHILIPCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1072137
SKINNER, JEFFREY THOMASSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4078336

Disclosures

Regulatory Event2
Civil Event1

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.

Company Information

CASTLEOAK SECURITIES, LP

CRD#: 125334New York, NY 10281

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