Eric C. 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.
Eric Charles Manley, who also goes by Eric C Manley, Eric Manley, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1994. Eric had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 52 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
June 18, 2009 - November 8, 2018
NEWOAK CAPITAL MARKETS LLC
January 26, 2007 - May 26, 2009
BRC SECURITIES, LP
May 4, 2004 - May 20, 2005
VIANT CAPITAL LLC
December 18, 2000 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
September 7, 1994 - December 18, 2000
PERSHING 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
Current Firm
NEWOAK CAPITAL MARKETS LLC
CRD#: 104063 / SEC#: , 8-52532
Contact information
FINRA licenses (9 States and Territories)
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.
