David B. Manns
Professional summary
David Brian Manns was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, David had worked at 7 firms, which includes UVEST FINANCIAL SERVICES GROUP INC., IFMG SECURITIES INC., INDEPENDENT FINANCIAL SECURITIES INC., SOUTHTRUST SECURITIES LLC, BANK SOUTH INVESTMENT SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 1999 - August 4, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
August 3, 1998 - February 8, 1999
IFMG SECURITIES, INC.
September 30, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 12, 1996 - February 5, 1999
SOUTHTRUST SECURITIES, LLC
May 25, 1995 - January 30, 1996
BANK SOUTH INVESTMENT SERVICES, INC.
July 2, 1990 - June 2, 1995
METROPOLITAN LIFE INSURANCE COMPANY
July 2, 1990 - June 2, 1995
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
Red Flags
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