Samuel E. Manno
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.
Samuel Eugene Manno was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1970. Samuel had worked at 14 firms and has passed the Series 5, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2005 - February 21, 2008
S.G. MARTIN SECURITIES LLC
June 26, 2002 - August 11, 2003
ADVANCED PLANNING SECURITIES, INC.
December 21, 1999 - July 2, 2001
NORTHRIDGE CAPITAL CORPORATION
June 21, 1999 - December 9, 1999
AMERICAN FIRST CAPITAL CORP.
December 24, 1998 - December 31, 1998
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
December 24, 1998 - January 13, 1999
J. ROBBINS SECURITIES, L.L.C
September 25, 1995 - April 7, 1997
PRIME CAPITAL SERVICES, INC.
June 7, 1990 - June 26, 1995
UBS FINANCIAL SERVICES INC.
May 21, 1990 - June 26, 1995
UBS FINANCIAL SERVICES INC.
August 3, 1982 - June 12, 1990
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - August 9, 1982
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
June 26, 1974 - November 8, 1974
HAYDEN STONE INC.
March 28, 1973 - July 24, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
September 11, 1970 - October 1, 1973
HAYDEN STONE INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 000
Date: 3/28/1966
General Securities Principal ExaminationSeries 1
Date: 3/28/1966
Registered Representative ExaminationCurrent Firm
S.G. MARTIN SECURITIES LLC
CRD#: 46908 / SEC#: , 8-51583
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
