Amy M. Manning

FHN FINANCIAL SECURITIES

Memphis, TN 38120

Some features on this profile are disabled

CRD#: 2861418

Professional summary

Amy Michelle Manning is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Memphis, Tennessee.

Amy is registered as a RR (Registered Representative) and started their career in finance in 1997. Amy has worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 24, Series 53, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amy Michelle 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®

None

Experience

Current

July 6, 2015 - Present

FHN FINANCIAL SECURITIES CORP.

Office #1: 1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

CRD#: 46346

Memphis, TN

Past

October 16, 2007 - July 6, 2015

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

MEMPHIS, TN

Past

September 10, 2007 - July 6, 2015

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MEMPHIS, TN

Past

August 23, 2004 - September 10, 2007

STEPHENS

RIA

CRD#: 3496

MEMPHIS, TN

Past

August 20, 2004 - September 10, 2007

STEPHENS

CRD#: 3496

MEMPHIS, TN

Past

January 14, 2004 - September 13, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MEMPHIS, TN

Past

August 14, 2000 - September 13, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 16, 1997 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Tennessee
(7/6/2015)

Exams

State Security Law Exam

Series 63

Date: 1/24/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/11/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 3/15/2016

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 10/1/2015

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 1/24/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/22/2005

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.

CRD#: 46346 / SEC#: , 8-51393

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Mailing Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Phone number

(901) 435-8080

Established

Tennessee since 10/30/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIRST HORIZON BANK	SHAREHOLDER
BUCK, WILLIAM JAMES II	PRINCIPAL OPERATING OFFICER	3129662
DABROWSKI, MARK GERARD	CHIEF COMPLIANCE OFFICER	2065647
GRIFFIN, MARK DANIEL	SVP, RISK CONTROL MANAGER	7462222
JACKSON, JEFF BRIAN	SVP/ TRADING MANAGER	2777631
RITCHESON, DONALD ALLEN	PRINCIPAL FINANCIAL OFFICER / CFO	2360009
ROMANOW, TIMOTHY MARK	PRESIDENT/CEO	2533445
WADDELL, MICHAEL KNOX	EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY	5657529

Disclosures

Regulatory Event	7
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.

Similar Advisors

Stacey Hyde

ENVISION FINANCIAL PLANNING, LLC

IAR

Memphis, TN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Amy M. Manning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Amy Michelle Manning's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

STEPHENS

STEPHENS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/24/1998

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/11/1997

Series 14

Date: 1/2/2023

Series 24

Date: 3/15/2016

Series 53

Date: 10/1/2015

Series 10

Date: 1/24/2005

Series 9

Date: 1/22/2005

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FHN FINANCIAL SECURITIES CORP.

TRUST BUT VERIFY

Similar Advisors