HM
Holly S. Manning
INCAPITAL DISTRIBUTORS LLC
Delray Beach, FL 33483
Some features on this profile are disabled
CRD#: 4349217
HM
Professional summary
Holly Sexton Manning, who also goes by Holly Shore Manning, Holly Shore Sexton, is a registered financial professional currently at INCAPITAL DISTRIBUTORS LLC located in Delray Beach, Florida and INSPEREX LLC located in Delray Beach, Florida.
Holly is registered as a RR (Registered Representative) and started their career in finance in 2001. Holly has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Holly Shore Manning | Holly Shore Sexton
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 Holly Sexton 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®
NoneExperience
Current
September 2, 2015 - Present
INCAPITAL DISTRIBUTORS LLC
Office #1: 25 Se 4th Avenue Suite 400, Delray Beach, FL 33483BD
CRD#: 156622
Delray Beach, FL
Current
September 2, 2015 - Present
INSPEREX LLC
Office #1: 25 Se 4th Avenue Suite 400, Delray Beach, FL 33483BD
CRD#: 101420
Delray Beach, FL
Past
October 22, 2013 - October 1, 2014
INCAPITAL DISTRIBUTORS LLC
BD
CRD#: 156622
BOCA RATON, FL
Past
September 3, 2013 - October 1, 2014
INSPEREX LLC
BD
CRD#: 101420
BOCA RATON, FL
Past
January 4, 2013 - January 14, 2013
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
DELRAY BEACH, FL
Past
January 6, 2009 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
DELRAY BEACH, FL
Past
February 25, 2003 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
RIA
CRD#: 5249
DELRAY BEACH, FL
Past
January 1, 2002 - January 3, 2013
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
May 22, 2001 - January 1, 2002
MANUFACTURERS SECURITIES SERVICES, LLC
BD
CRD#: 16009
BOSTON, MA
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(8/31/2016)
RR
Alaska(8/31/2016)
RR
Arizona(8/31/2016)
RR
Arkansas(8/3/2016)
RR
California(9/2/2015)
RR
Colorado(8/31/2016)
RR
Connecticut(8/31/2016)
RR
Delaware(8/31/2016)
RR
District of Columbia(8/31/2016)
RR
Florida(9/2/2015)
RR
Georgia(8/31/2016)
RR
Hawaii(8/31/2016)
RR
Idaho(8/31/2016)
RR
Illinois(9/2/2015)
RR
Indiana(8/31/2016)
RR
Iowa(8/31/2016)
RR
Kansas(8/31/2016)
RR
Kentucky(8/31/2016)
RR
Louisiana(8/31/2016)
RR
Maine(8/31/2016)
RR
Maryland(8/31/2016)
RR
Massachusetts(8/31/2016)
RR
Michigan(8/31/2016)
RR
Minnesota(8/31/2016)
RR
Mississippi(8/31/2016)
RR
Missouri(8/31/2016)
RR
Montana(7/13/2016)
RR
Nebraska(8/31/2016)
RR
Nevada(8/31/2016)
RR
New Hampshire(8/31/2016)
RR
New Jersey(9/2/2015)
RR
New Mexico(8/31/2016)
RR
New York(9/2/2015)
RR
North Carolina(8/31/2016)
RR
North Dakota(8/31/2016)
RR
Ohio(8/31/2016)
RR
Oklahoma(8/31/2016)
RR
Oregon(8/31/2016)
RR
Pennsylvania(8/31/2016)
RR
Puerto Rico(8/31/2016)
RR
Rhode Island(8/31/2016)
RR
South Carolina(8/31/2016)
RR
South Dakota(8/31/2016)
RR
Tennessee(8/31/2016)
RR
Texas(8/31/2016)
RR
Utah(8/31/2016)
RR
Vermont(8/31/2016)
RR
Virgin Islands(8/31/2016)
RR
Virginia(8/31/2016)
RR
Washington(8/31/2016)
RR
West Virginia(8/31/2016)
RR
Wisconsin(8/31/2016)
RR
Wyoming(8/31/2016)
Exams
State Security Law Exam
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
IL
INSPEREX LLC
INCAPITAL | INTEGRATED INVESTMENTS, L.L.C. | INTEGRATED CAPITAL, LLC | INSPEREX LLC | INSPEREX | INCAPITAL, LLC | INCAPITAL LLC
CRD#: 101420 / SEC#: , 8-52081
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
25 Se 4th Avenue Suite 400, Delray Beach, FL 33483
Mailing Address
233 South Wacker Drive Suite 4400, Chicago, IL 60606
Phone number
(312) 379-3700
Established
Delaware since 09/01/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 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.
Company Information
INSPEREX LLC
CRD#: 101420Delray Beach, FL 33483TRUST BUT VERIFY
Monitor Holly Manning
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
