Reesa M. Manning
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.
Reesa Marilyn Manning, who also goes by Reesa Hahnmanning, Reesa Marilyn Mawning, Reesa Marilyn Mogul, was a registered financial professional .
Reesa is a previously registered financial professional and started their career in finance in 1997. Reesa had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2010 - April 28, 2016
PURSHE KAPLAN STERLING INVESTMENTS
January 22, 2010 - April 29, 2016
INTEGRATED WEALTH MANAGEMENT, INC.
August 28, 2009 - December 31, 2009
INTEGRATED WEALTH MANAGEMENT, INC.
August 20, 2009 - September 27, 2010
BCG SECURITIES, INC.
March 30, 1998 - August 18, 2009
UBS FINANCIAL SERVICES INC.
November 3, 1997 - August 18, 2009
UBS FINANCIAL SERVICES INC.
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
