JM
John B. Manley
CWS CAPITAL PARTNERS LLC
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2927566
JM
Professional summary
John Bertrand Manley, who also goes by John B Manley, is a registered financial advisor currently at CWS CAPITAL PARTNERS LLC located in Newport Beach, California and CWS INVESTMENTS located in Newport Beach, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 27, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John B Manley
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.
I AM AN EMPLOYEE OF CWS APARTMENT HOMES (CWSAH) A PROPERTY MGT FIRM. IT MIGHT BE DEEMED INVESTMENT RELATED AND IS LOCATED AT 14 CORPORATE PLAZA DRIVE, SUITE 210, NEWPORT BEACH, CA 92660. MAJORITY OF MY TIME IS DEVOTED TO CWS INVESTMENTS COMPLIANCE.
CRS (Client Relationship Summary) - RIA
Click below to view John Bertrand Manley'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
May 28, 2024 - Present
CWS CAPITAL PARTNERS LLC
Office #1: 14 Corporate Plaza Drive Suite 210, Newport Beach, CA 92660RIA
CRD#: 166871
Newport Beach, CA
Current
May 28, 2024 - Present
CWS INVESTMENTS
Office #1: 14 Corporate Plaza Ste. 210, Newport Beach, CA 92660RIA
BD
CRD#: 23551
Newport Beach, CA
Current
May 28, 2024 - Present
CWS INVESTMENTS
Office #1: 14 Corporate Plaza, Suite 210, Newport Beach, CA 92660RIA
BD
CRD#: 23551
Newport Beach, CA
Past
February 20, 2014 - May 7, 2024
CROWN CAPITAL SECURITIES, L.P.
RIA
CRD#: 6312
ORANGE, CA
Past
January 2, 2009 - May 7, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
November 9, 2006 - September 18, 2008
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEWPORT BEACH, CA
Past
July 19, 1999 - October 9, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
June 30, 1998 - July 24, 1998
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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".
CC
CWS CAPITAL PARTNERS LLC
CWS CAPITAL PARTNERS LLC | CWS CAPITAL PARTNERS, LLC
CRD#: 166871 / SEC#: 801-107474
RIA
Registered Investment Advisory firm - (4/5/2016 Approved)California
Registered Investment Advisory firm - (5/21/2016 Terminated)Illinois
Registered Investment Advisory firm - (4/5/2016 Terminated)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.RR
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
RR
Arizona(5/28/2024)
RR
California(5/28/2024)
IAR
California(5/28/2024)
RR
Colorado(5/28/2024)
RR
Connecticut(5/28/2024)
RR
Delaware(8/28/2024)
RR
District of Columbia(5/28/2024)
RR
Florida(5/28/2024)
RR
Georgia(5/28/2024)
RR
Hawaii(5/28/2024)
RR
Idaho(5/28/2024)
RR
Illinois(5/28/2024)
RR
Indiana(5/28/2024)
RR
Louisiana(5/28/2024)
RR
Massachusetts(5/28/2024)
RR
Michigan(5/28/2024)
RR
Minnesota(5/28/2024)
RR
Missouri(5/28/2024)
RR
Nevada(5/28/2024)
RR
New Jersey(1/3/2025)
RR
New Mexico(5/28/2024)
RR
New York(5/28/2024)
RR
North Carolina(5/28/2024)
RR
Oklahoma(5/28/2024)
RR
Oregon(5/28/2024)
RR
Pennsylvania(5/28/2024)
RR
Puerto Rico(5/28/2024)
RR
Rhode Island(5/28/2024)
RR
South Carolina(5/28/2024)
RR
South Dakota(5/28/2024)
RR
Texas(5/28/2024)
IAR
Texas(5/28/2024)
RR
Utah(5/28/2024)
RR
Virginia(5/28/2024)
RR
Washington(5/28/2024)
RR
Wyoming(5/28/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CC
CWS CAPITAL PARTNERS LLC
CWS CAPITAL PARTNERS LLC | CWS CAPITAL PARTNERS, LLC
CRD#: 166871 / SEC#: 801-107474
RIA
Registered Investment Advisory firm - (4/5/2016 Approved)California
Registered Investment Advisory firm - (5/21/2016 Terminated)Illinois
Registered Investment Advisory firm - (4/5/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14 Corporate Plaza Ste. 210, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 466-0020
Established
Firm type
Fiscal year end
# of Employees
49
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 293,170,929 |
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.
