DM
Derek J. Manning
ROBINHOOD FINANCIAL
Denver, CO 80202
Some features on this profile are disabled
CRD#: 3002215
DM
Professional summary
Derek John Manning, CFP® is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Denver, Colorado.
Derek is registered as a RR (Registered Representative) and started their career in finance in 1998. Derek has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Derek John 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®
Experience
Current
January 12, 2026 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 2373 15th St Suite 300, Denver, CO 80202BD
CRD#: 165998
Denver, CO
Past
August 19, 2013 - March 18, 2014
COBIZ WEALTH
RIA
CRD#: 125910
DENVER, CO
Past
August 29, 2008 - August 12, 2011
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
CENTENNIAL, CO
Past
August 29, 2008 - August 12, 2011
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
CENTENNIAL, CO
Past
November 28, 2003 - September 10, 2008
OSAIC FA, INC.
RIA
CRD#: 3978
DENVER, CO
Past
November 28, 2003 - March 25, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
November 28, 2003 - September 10, 2008
OSAIC FA, INC.
BD
CRD#: 3978
DENVER, CO
Past
January 1, 1999 - December 17, 2003
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
ENGLEWOOD, CO
Past
June 16, 1998 - December 17, 2003
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(2/19/2026)
RR
Alaska(2/19/2026)
RR
Arizona(2/19/2026)
RR
Arkansas(2/19/2026)
RR
California(2/19/2026)
RR
Colorado(2/19/2026)
RR
Connecticut(2/19/2026)
RR
Delaware(2/19/2026)
RR
District of Columbia(2/19/2026)
RR
Florida(2/19/2026)
RR
Georgia(2/19/2026)
RR
Hawaii(2/19/2026)
RR
Idaho(2/19/2026)
RR
Illinois(2/19/2026)
RR
Indiana(2/19/2026)
RR
Iowa(2/19/2026)
RR
Kansas(2/19/2026)
RR
Kentucky(2/19/2026)
RR
Louisiana(2/19/2026)
RR
Maine(2/19/2026)
RR
Maryland(2/19/2026)
RR
Massachusetts(2/19/2026)
RR
Michigan(2/19/2026)
RR
Minnesota(2/19/2026)
RR
Mississippi(2/19/2026)
RR
Missouri(2/19/2026)
RR
Montana(2/19/2026)
RR
Nebraska(2/19/2026)
RR
Nevada(2/19/2026)
RR
New Hampshire(2/19/2026)
RR
New Jersey(2/19/2026)
RR
New Mexico(2/19/2026)
RR
New York(2/19/2026)
RR
North Carolina(2/19/2026)
RR
North Dakota(2/19/2026)
RR
Ohio(2/19/2026)
RR
Oklahoma(2/19/2026)
RR
Oregon(2/19/2026)
RR
Pennsylvania(2/19/2026)
RR
Puerto Rico(2/19/2026)
RR
Rhode Island(2/19/2026)
RR
South Carolina(2/19/2026)
RR
South Dakota(2/19/2026)
RR
Tennessee(2/19/2026)
RR
Texas(2/19/2026)
RR
Utah(2/19/2026)
RR
Vermont(2/19/2026)
RR
Virgin Islands(2/19/2026)
RR
Virginia(2/19/2026)
RR
Washington(2/19/2026)
RR
West Virginia(2/19/2026)
RR
Wisconsin(2/19/2026)
RR
Wyoming(2/19/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/12/2026
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 7 |
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.
