Stephen R. Manley
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.
Stephen Rodes Manley, who also goes by Stephen Rodes Manley, Stephen Manley, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 13 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 3, Series 6, Series 4, Series 53 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
July 27, 2018 - August 14, 2018
B. RILEY SECURITIES, INC.
August 3, 2015 - August 14, 2018
B. RILEY WEALTH MANAGEMENT
October 20, 2014 - August 7, 2015
SCOTTRADE, INC.
February 13, 2013 - May 2, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - May 2, 2013
RAYMOND JAMES & ASSOCIATES, INC.
November 30, 2005 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
November 30, 2005 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
June 16, 2005 - November 30, 2005
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
March 23, 2005 - November 29, 2005
AMSOUTH INVESTMENT SERVICES, INC.
March 20, 2003 - April 13, 2004
CENTRAL FIXED INCOME SERVICES, LLC
July 15, 1996 - September 5, 1996
FIDELITY BROKERAGE SERVICES LLC
March 31, 1994 - July 2, 1996
CITIGROUP GLOBAL MARKETS INC.
February 27, 1990 - April 6, 1994
MORGAN STANLEY DW INC.
February 23, 1988 - June 1, 1988
PRUCO SECURITIES, LLC.
February 23, 1988 - June 3, 1988
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| 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.
