MM
Mark J. Manning
COMPASS ION ADVISORS
CHADDS FORD, PA 19317
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CRD#: 2476784
MM
Professional summary
Mark Joseph Manning is a registered financial advisor currently at COMPASS ION ADVISORS, LLC located in Chadds Ford, Pennsylvania.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Mark has worked at 9 firms and has passed the Series 65, Series 63, Series 31, 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.
(1.) NAME OF OBA: HARRY COHEN FOUNDATION; ADDRESS OF OBA: WILMINGTON, DE; NATURE: CHARITABLE ORGANIZATION; INVESTMENT RELATED: NO; TITLE WITH OBA: BOARD MEMBER; DUTIES: REVIEWING INVESTMENT ACCOUNTS AND DECIDING ON DONATIONS; START DATE: 11/03/2014; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (2.) NAME OF OBA: UNITED STATES TENNIS ASSOCIATION, INC.; ADDRESS OF OBA: WHITE PLAINS, NY; NATURE: NATIONAL GOVERNING BODY FOR TENNIS IN THE UNITED STATES; INVESTMENT RELATED: NO; TITLE WITH OBA: INVESTMENT COMMITTEE MEMBER; DUTIES: OVERSIGHT OF THE MIDDLE STATES' 401(K) PLAN FOR THEIR EMPLOYEES; START DATE: 06/15/2020; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: DELAWARE LAWYERS' FUND FOR CLIENT PROTECTION; ADDRESS OF OBA: WILMINGTON, DE 19801; NATURE: OVERSEE FUNDS FOR CLAIMS AGAINST LAWYERS MIS-HANDLING OF CLIENT FUNDS AND FOR LAW FIRM AUDITS; INVESTMENT RELATED: YES; RELATIONSHIP WITH OBA: BOARD OF TRUSTEES MEMBER; DUTIES: LAY PERSON MEMBER OF BOARD OF TRUSTEES; START DATE: 05/2023; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 1
CRS (Client Relationship Summary) - RIA
Click below to view Mark Joseph Manning's 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®
NoneExperience
Current
August 11, 2023 - Present
COMPASS ION ADVISORS, LLC
Office #1: Mendenhall Station 330 Kennett Pike Suite 209, Chadds Ford, PA 19317RIA
CRD#: 166418
CHADDS FORD, PA
Past
June 21, 2019 - June 6, 2023
UNITED CAPITAL FINANCIAL ADVISORS
RIA
CRD#: 134600
CHADDS FORD, PA
Past
February 1, 2012 - July 15, 2019
CAPTRUST FINANCIAL ADVISORS
RIA
CRD#: 159662
CHADDS FORD, PA
Past
December 18, 2009 - May 1, 2012
SILVER OAK SECURITIES, INCORPORATED
BD
CRD#: 46947
CHADDS FORD, PA
Past
November 23, 2009 - April 2, 2012
FINTRUST CAPITAL ADVISORS, LLC
RIA
CRD#: 145460
CHADDS FORD, PA
Past
June 29, 2006 - November 13, 2009
AMERICAN SECURITIES GROUP, INC.
RIA
CRD#: 43730
CHADDS FORD, PA
Past
June 29, 2006 - November 13, 2009
AMERICAN SECURITIES GROUP, INC.
BD
CRD#: 43730
CHADDS FORD, PA
Past
June 19, 2002 - June 16, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
CHADDS FORD, PA
Past
June 15, 2002 - June 16, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
CHADDS FORD, PA
Past
April 28, 1998 - June 20, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
RIA
CRD#: 41727
CHADDS FORD, PA
Past
April 17, 1998 - June 15, 2002
CAPTRUST FINANCIAL ADVISORS, LLC
BD
CRD#: 41727
CHARLOTTE, NC
Past
June 10, 1994 - April 22, 1998
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
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".
CI
COMPASS ION ADVISORS, LLC
COMPASS ION ADVISORS, LLC
CRD#: 166418 / SEC#: 801-78503
RIA
Registered Investment Advisory firm - (8/30/2013 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
Pennsylvania(8/11/2023)
IAR
Texas(10/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CI
COMPASS ION ADVISORS, LLC
COMPASS ION ADVISORS, LLC
CRD#: 166418 / SEC#: 801-78503
RIA
Registered Investment Advisory firm - (8/30/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Conshohocken State Road Suite 230, Conshohocken, PA 19428
Mailing Address
Phone number
(610) 228-2200
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,547 |
| AUM (Assets Under Management) | $ 1,328,104,988 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/07/2024 | ||
| 04/17/2024 | ||
| 12/22/2023 |
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.
