Derek J. 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.
Derek John Manning, CFP® was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 1998. Derek had worked at 6 firms and has passed the Series 66, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2013 - March 18, 2014
COBIZ WEALTH
August 29, 2008 - August 12, 2011
KESTRA INVESTMENT SERVICES, LLC
August 29, 2008 - August 12, 2011
KESTRA INVESTMENT SERVICES, LLC
November 28, 2003 - September 10, 2008
OSAIC FA, INC.
November 28, 2003 - March 25, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 28, 2003 - September 10, 2008
OSAIC FA, INC.
January 1, 1999 - December 17, 2003
1ST GLOBAL ADVISORS INC
June 16, 1998 - December 17, 2003
1ST GLOBAL CAPITAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COBIZ WEALTH
CRD#: 125910 / SEC#: 801-62035
Contact information
Red Flags
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