W Curtis 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.
W Curtis Manning, who also goes by Curtis Manning, W. Curtis Manning III, Wilbur Curtis Manning III, was a registered financial professional .
W Curtis is a previously registered financial professional and started their career in finance in 2001. W Curtis had worked at 8 firms and has passed the Series 63, 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
March 5, 2015 - May 31, 2017
HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.
October 27, 2011 - January 2, 2015
PENSERRA SECURITIES, LLC
July 28, 2009 - October 15, 2010
ODEON CAPITAL GROUP LLC
January 28, 2009 - July 20, 2009
CITATION FINANCIAL GROUP, L.P.
April 22, 2008 - January 21, 2009
R. SEELAUS & CO., LLC
August 9, 2005 - November 9, 2007
J.P. MORGAN SECURITIES INC.
October 29, 2003 - September 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 17, 2001 - November 29, 2001
NATIONAL FINANCIAL SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC.
CRD#: 101640 / SEC#: , 8-52105
Contact information
Documents
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.
