Joseph A. Manna
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.
Joseph Anthony Manna was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 3 firms and has passed the Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2004 - January 16, 2008
LEK SECURITIES CORPORATION
December 29, 2003 - August 28, 2012
MARQUIS HOLDINGS, INC.
October 4, 2000 - January 2, 2004
SGI, 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 7A
Date: 3/26/2003
Floor Broker Representative ExamSeries 25
Date: 2/8/2000
NYSE Trading Assistant ExaminationCurrent Firm
LEK SECURITIES CORPORATION
CRD#: 33135 / SEC#: , 8-42152
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 42 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
