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Theresa J. Manderski

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CRD#: 2928010
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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.

Theresa J Manderski, who also goes by Theresa Jo Manderski, Theresa Jo Phelps, Theresa Jo Stewart, was a registered financial professional .

Theresa is a previously registered financial professional and started their career in finance in 1997. Theresa had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 14, Series 53, Series 4, Series 9, Series 10 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Theresa Jo Manderski | Theresa Jo Phelps | Theresa Jo Stewart

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.
FINRA Hearing Panelist - Hear and vote on cases brought by FINRA against RR's and/or Firms. Approximate number of hours/month you devote to this outside activity during business hours: 1-5. approximate number of hours/month you devote to this outside activity during non-business hours: 5-10

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 13, 2024 - July 24, 2024

AET INVESTMENT SERVICES, LLC

BD
CRD#: 40878
SPOKANE, WA
Past

September 16, 2014 - April 9, 2024

DAVENPORT & COMPANY LLC

RIA
CRD#: 1588
RICHMOND, VA
Past

September 16, 2014 - April 9, 2024

DAVENPORT & COMPANY LLC

BD
CRD#: 1588
RICHMOND, VA
Past

July 30, 2013 - September 12, 2014

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
RICHMOND, VA
Past

July 29, 2013 - September 12, 2014

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
RICHMOND, VA
Past

January 2, 2013 - September 18, 2014

BB&T SECURITIES, LLC

RIA
CRD#: 142785
RICHMOND, VA
Past

October 23, 2008 - September 18, 2014

BB&T SECURITIES, LLC

BD
CRD#: 142785
RICHMOND, VA
Past

June 12, 2008 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

RIA
CRD#: 6255
RICHMOND, VA
Past

June 12, 2008 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA
Past

September 13, 2005 - June 11, 2008

DAVENPORT & COMPANY LLC

RIA
CRD#: 1588
RICHMOND, VA
Past

September 12, 2005 - June 11, 2008

DAVENPORT & COMPANY LLC

BD
CRD#: 1588
RICHMOND, VA
Past

January 17, 2003 - September 14, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GLEN ALLEN, VA
Past

January 17, 2003 - September 14, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 8, 2002 - January 15, 2003

RYAN BECK & CO.

RIA
CRD#: 3248
LIVINGSTON, NJ
Past

June 3, 1998 - January 15, 2003

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

August 4, 1997 - January 27, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/20/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/8/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/2/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 8/14/2015
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/9/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/8/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/14/2003
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/12/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/28/2002
General Securities Principal Examination

Current Firm

AI
AET INVESTMENT SERVICES, LLC
AET FINANCIAL SERVICES, LLC | VERITAGE GROUP, LLC | THE LAKESIDE GROUP, LLC | LIORA PARTNERS | AET INVESTMENT SERVICES, LLC

CRD#: 40878 / SEC#: , 8-49217

BD
Terminated by SEC on 07/27/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AET HOLDINGS, LLCHOLDING COMPANY (100% OWNER)
LARSEN, STEVEN TCHIEF EXECUTIVE OFFICER4638715
SMITH, KIMBERLY PATRICIAPFO & FINOP7142249
SUTTON, SARAH JEANCHIEF COMPLIANCE OFFICER4151257

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.

Company Information

AET INVESTMENT SERVICES, LLC

CRD#: 40878

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