Stephen M. Manning

ASSETPOINT FINANCIAL

Arlington, VA 22209-3810

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CRD#: 2953402

Professional summary

Stephen Matthew Manning is a registered financial professional currently at ASSETPOINT FINANCIAL, LLC located in Arlington, Virginia.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2004. Stephen has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 9 and Series 10 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 Stephen Matthew 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

April 8, 2024 - Present

ASSETPOINT FINANCIAL, LLC

Office #1: 1300 North 17th Street Suite 1800, Arlington, VA 22209-3810

CRD#: 168796

Arlington, VA

Past

March 8, 2022 - June 20, 2023

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

New York, NY

Past

August 14, 2009 - March 23, 2022

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

September 6, 2006 - July 2, 2009

ABN AMRO INCORPORATED

CRD#: 15776

GREENWICH, CT

Past

July 5, 2004 - September 27, 2006

RBC CAPITAL MARKETS, LLC

CRD#: 31194

CHICAGO, IL

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

New York
(4/8/2024)

Exams

State Security Law Exam

Series 63

Date: 12/22/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/29/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/2/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/2021

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 9/20/2011

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/27/2011

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

ASSETPOINT FINANCIAL, LLC

CRD#: 168796 / SEC#: , 8-69332

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1300 North 17th Street Suite 1800, Arlington, VA 22209-3810

Mailing Address

1300 North 17th Street Suite 1800, Arlington, VA 22209-3810

Phone number

(703) 292-3400

Established

Delaware since 07/16/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INTRAFI LLC (F/K/A INTRAFI NETWORK LLC)	MEMBER
BERGIN, WILLIAM THOMAS	CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER & EXECUTIVE REPRESENTATIVE	3056261
KINNER, STEPHEN JOHN	CHIEF EXECUTIVE OFFICER	2542667
PARISE, JANICE DRU	FINOP, PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER	2338583

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.

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Advisor Monitoring

Firm Stability Insights

Stephen M. Manning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Matthew Manning's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEYBANC CAPITAL MARKETS INC.

RBC CAPITAL MARKETS, LLC

ABN AMRO INCORPORATED

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/2006

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/29/2009

Series 7

Date: 7/2/2004

Series 24

Date: 6/22/2021

Series 9

Date: 9/20/2011

Series 10

Date: 5/27/2011

FINRA

Current Firm

ASSETPOINT FINANCIAL, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASSETPOINT FINANCIAL, LLC

TRUST BUT VERIFY

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