Glen P. Manna
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.
Glen Philip Manna, CFA, who also goes by Glen P. Manna, Glen Manna, Manna, was a registered financial professional .
Glen is a previously registered financial professional and started their career in finance in 2000. Glen had worked at 7 firms and has passed the Series 63, Series 7TO, Series 86, Series 87, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2013 - May 13, 2021
KEEFE, BRUYETTE & WOODS, INC.
September 22, 2008 - October 23, 2008
BARCLAYS CAPITAL INC.
August 7, 2008 - September 22, 2008
LEHMAN BROTHERS INC.
June 15, 2004 - June 17, 2008
J.P. MORGAN SECURITIES LLC
March 25, 2003 - May 22, 2003
CITIGROUP GLOBAL MARKETS INC.
October 27, 2000 - March 12, 2003
BANC OF AMERICA SECURITIES LLC
September 21, 2000 - October 5, 2000
CITIGROUP GLOBAL MARKETS INC.
July 11, 2000 - September 29, 2000
UBS FINANCIAL SERVICES 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 7TO
Date: 7/19/2022
General Securities Representative ExaminationCurrent Firm
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
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.
