Michael 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.
Michael John Manning, who also goes by Michael John Manning, Mick Manning, Michael Manning, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2025 - April 10, 2026
APOLLO GLOBAL SECURITIES, LLC
October 1, 2024 - October 1, 2025
WEALTHFORGE SECURITIES, LLC
February 2, 2023 - November 15, 2023
FCA CAPITAL MARKETS LLC
October 4, 2022 - May 30, 2024
FORESIDE FUND SERVICES, LLC
December 10, 2020 - July 11, 2022
PACIFIC OAK CAPITAL MARKETS, LLC
November 19, 2018 - December 31, 2020
ARETE WEALTH MANAGEMENT, LLC
February 8, 2006 - November 8, 2018
KBS CAPITAL MARKETS GROUP LLC
April 13, 2005 - February 17, 2006
TOWER SQUARE SECURITIES, INC.
March 12, 2002 - November 22, 2004
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 21, 1998 - March 7, 2002
MML INVESTORS SERVICES, LLC
October 11, 1988 - October 20, 1998
ROBERT W. BAIRD & CO. INCORPORATED
October 11, 1988 - October 20, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 12
Date: 9/24/1996
NYSE Branch Manager ExaminationCurrent Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO GLOBAL SECURITIES INTERMEDIATE, L.P. | SOLE MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
Red Flags
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