DM
David J. Mannaioni
ST. BERNARD FINANCIAL SERVICES
Centennial, CO
Some features on this profile are disabled
CRD#: 3009569
DM
Professional summary
David James Mannaioni, CFP®, ChFC®, CLU®, who also goes by David J Mannaioni, is a registered financial advisor currently at ST. BERNARD FINANCIAL SERVICES, INC. located in Centennial, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David J Mannaioni
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.
6/2014-PRESENT, DEAN at the COLLEGE FOR FINANCIAL PLANNING, CENTENNIAL, CO, INVEST-RELATED: N, EDUCATION, ASSOCIATE PROFESSOR, 80 HRS/MO, 0 SEC. 08/2005-PRESENT, SUCCESS BY DESIGN LLC, CENTENNIAL, CO, NOT INVESTMENT RELATED, TAXES, KEEP TRACK OF TAXES AND EXPENSES, 4HRS/MO, 0HRS/DAY DURING SEC TRADING HRS, President
CRS (Client Relationship Summary) - RIA
Click below to view David James Mannaioni's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David James Mannaioni'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®
CFP®
Start date: 2003
Experience
Current
November 21, 2016 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 36956
Centennial, CO
Current
November 21, 2016 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 1609 West Main St, Russellville, AR 72801Office #2: 1609 West Main St., Russellville, AR 72801RIA
BD
CRD#: 36956
Russellville, AR
Past
April 2, 2013 - November 23, 2016
WADDELL & REED
RIA
CRD#: 866
DENVER, CO
Past
April 1, 2013 - November 23, 2016
WADDELL & REED
BD
CRD#: 866
DENVER, CO
Past
April 3, 2012 - April 1, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
GREENWOOD VILLAGE, CO
Past
April 2, 2012 - April 1, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GREENWOOD VILLAGE, CO
Past
January 5, 2011 - March 28, 2011
FINANCIAL ACTION, INC.
RIA
CRD#: 140285
MONUMENT, CO
Past
September 27, 2010 - December 31, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
GREENWOOD VILLAGE, CO
Past
August 25, 2010 - December 10, 2010
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
July 28, 2006 - July 9, 2010
NEW ENGLAND SECURITIES
RIA
CRD#: 615
COLORADO SPRINGS, CO
Past
June 19, 2006 - July 9, 2010
NEW ENGLAND SECURITIES
BD
CRD#: 615
COLORADO SPRINGS, CO
Past
September 7, 2005 - June 20, 2006
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
COLORADO SPRINGS, CO
Past
October 2, 2003 - August 3, 2005
OSAIC FA, INC.
RIA
CRD#: 3978
TARRYTOWN, NY
Past
October 1, 2003 - August 3, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 1, 2003 - August 3, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
March 24, 1998 - September 26, 2003
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
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".
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
Alaska(7/23/2019)
IAR
Arizona(9/15/2022)
RR
Arizona(3/19/2025)
RR
Arkansas(5/13/2022)
IAR
Arkansas(5/13/2022)
RR
California(11/21/2016)
IAR
California(8/3/2018)
RR
Colorado(11/22/2016)
IAR
Colorado(8/3/2018)
RR
Illinois(11/21/2016)
IAR
Illinois(11/21/2016)
RR
Iowa(8/27/2020)
IAR
Iowa(9/1/2021)
IAR
Missouri(4/28/2025)
RR
Nebraska(11/23/2016)
IAR
Nebraska(9/25/2020)
IAR
North Carolina(2/15/2023)
RR
Ohio(7/19/2019)
IAR
Ohio(8/27/2020)
IAR
Oregon(3/27/2025)
IAR
Texas(12/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1609 West Main St., Russellville, AR 72801
Mailing Address
1609 West Main St., Russellville, AR 72801
Phone number
(479) 967-1200
Established
Arkansas since 03/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
109
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
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.
