Joseph U. Manfredi

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

COLUMBIA, MD 21044

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CRD#: 1882511

Professional summary

Joseph U Manfredi is a registered financial advisor currently at BALTIMORE-WASHINGTON FINANCIAL ADVISORS located in Columbia, Maryland.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Joseph has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Joseph U Manfredi's CRS (Customer Relationship Summary).

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

June 5, 2015 - Present

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

Office #1: 10960 Grantchester Way Suite 110, Columbia, MD 21044

RIA

CRD#: 159388

COLUMBIA, MD

Past

August 21, 2009 - May 27, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RICHMOND, VA

Past

August 21, 2009 - May 27, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RICHMOND, VA

Past

September 22, 2006 - August 26, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

COLUMBUS, OH

Past

August 12, 2006 - August 26, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

COLUMBUS, OH

Past

October 9, 2001 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

BUTTE, MT

Past

November 1, 1993 - May 7, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 19, 1988 - October 21, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

BALTIMORE-WASHINGTON FINANCIAL ADVISORS | BALTIMORE-WASHINGTON FINANCIAL ADVISORS, INC.

CRD#: 159388 / SEC#: 801-76893

RIA

Registered Investment Advisory firm - (6/29/2012 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(6/5/2015)

IAR

Texas
(5/12/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/15/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/27/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 11/9/1994

Interest Rate Options Examination

General Industry/Product Exam

Series 15

Date: 10/3/1994

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 8/29/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/12/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

BALTIMORE-WASHINGTON FINANCIAL ADVISORS | BALTIMORE-WASHINGTON FINANCIAL ADVISORS, INC.

CRD#: 159388 / SEC#: 801-76893

RIA

Registered Investment Advisory firm - (6/29/2012 Approved)

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Contact information

Main Address

10960 Grantchester Way Suite 110, Columbia, MD 21044

Mailing Address

Phone number

(410) 461-3900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BWFA ADV PART 2 BROCHURE (10/24/2025)

Regulatory assets under management

Total Number of Accounts	4,975
AUM (Assets Under Management)	$ 2,828,296,993

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.

Contact information

xxxxx@xxxx.xxx

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Joseph U. Manfredi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph U Manfredi's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2006

Series 65

Date: 2/15/1994

Series 63

Date: 10/26/1988

SIE

Date: 5/27/2015

Series 5

Date: 11/9/1994

Series 15

Date: 10/3/1994

Series 3

Date: 8/29/1994

Series 7

Date: 10/15/1988

Series 8

Date: 7/12/1994

Current Firm

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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