Carla S. Mannes
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.
Carla Susan Mannes, who also goes by Carla M Schmidt, Carla Mannes Schmidt, was a registered financial professional .
Carla is a previously registered financial professional and started their career in finance in 1992. Carla had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2004 - February 1, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
March 10, 2003 - April 29, 2004
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 18, 2001 - March 14, 2003
SUNAMERICA SECURITIES, INC.
August 2, 2001 - December 10, 2001
QUICK & REILLY, INC.
June 5, 2000 - August 1, 2001
MORGAN STANLEY DW INC.
March 7, 1995 - March 25, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 1993 - March 9, 1995
IDS LIFE INSURANCE COMPANY
June 7, 1993 - March 9, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
July 17, 1992 - February 1, 1993
TRANSAMERICA FINANCIAL ADVISORS, 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
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
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.
