Steven A. Manning

FENNEL

NEW YORK, NY 10017

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CRD#: 4470995

Professional summary

Steven Allen Manning is a registered financial professional currently at FENNEL located in New York, New York and GIGASTAR SECURITIES, LLC located in Chicago, Illinois.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 52, Series 34, Series 3, Series 55, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Allen 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®

None

Experience

Current

June 25, 2025 - Present

FENNEL

Office #1: 450 Lexington Avenue 4th Floor, New York, NY 10017

CRD#: 316281

NEW YORK, NY

Current

May 1, 2026 - Present

GIGASTAR SECURITIES, LLC

Office #1: 159 N. Sangamon Street Suite 200, Chicago, IL 60607

CRD#: 328312

CHICAGO, IL

Current

June 8, 2026 - Present

NASSAU STREET SECURITIES, LLC

Office #1: 40 Wall Street Suite 2910, New York, NY 10005

CRD#: 339050

NEW YORK, NY

Past

September 30, 2025 - February 10, 2026

NETSHARES FINANCIAL SERVICES LLC

CRD#: 307532

KATY, TX

Past

August 27, 2015 - January 8, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Chicago, IL

Past

November 15, 2011 - July 21, 2015

OPTIONSXPRESS, INC.

CRD#: 103849

CHICAGO, IL

Past

August 10, 2007 - May 18, 2009

GH TRADERS LLC

CRD#: 36665

CHICAGO, IL

Past

January 12, 2005 - February 16, 2007

GH TRADERS LLC

CRD#: 36665

EVANSTON, IL

Past

November 19, 2002 - January 3, 2005

GELBER SECURITIES, LLC

CRD#: 18367

CHICAGO, IL

Past

July 29, 2002 - October 22, 2002

E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC

CRD#: 1625

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(6/12/2026)

Alaska
(6/17/2026)

Arizona
(6/24/2026)

Arkansas
(6/15/2026)

California
(5/7/2026)

Colorado
(6/15/2026)

Connecticut
(6/12/2026)

Delaware
(6/12/2026)

District of Columbia
(6/12/2026)

Florida
(6/15/2026)

Georgia
(6/22/2026)

Hawaii
(6/15/2026)

Idaho
(6/16/2026)

Illinois
(6/25/2025)

Indiana
(6/16/2026)

Iowa
(6/18/2026)

Kansas
(6/12/2026)

Kentucky
(6/16/2026)

Louisiana
(6/12/2026)

Maine
(6/12/2026)

Maryland
(6/25/2026)

Massachusetts
(6/15/2026)

Michigan
(6/16/2026)

Minnesota
(6/12/2026)

Mississippi
(6/17/2026)

Missouri
(6/12/2026)

Montana
(6/16/2026)

Nebraska
(6/12/2026)

Nevada
(6/15/2026)

New Hampshire
(6/15/2026)

New Jersey
(6/12/2026)

New Mexico
(6/12/2026)

New York
(6/16/2026)

North Carolina
(6/15/2026)

Ohio
(6/12/2026)

Oklahoma
(6/15/2026)

Oregon
(6/14/2026)

Pennsylvania
(6/15/2026)

Rhode Island
(6/15/2026)

South Carolina
(6/12/2026)

South Dakota
(6/4/2026)

Tennessee
(6/15/2026)

Texas
(6/12/2026)

Utah
(6/12/2026)

Vermont
(6/12/2026)

Virgin Islands
(6/16/2026)

Virginia
(6/17/2026)

Washington
(6/18/2026)

West Virginia
(6/16/2026)

Wisconsin
(7/15/2026)

Wyoming
(6/12/2026)

Exams

State Security Law Exam

Series 63

Date: 1/30/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 2/26/2026

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 4/21/2015

Municipal Securities Representative Examination

General Industry/Product Exam

Series 34

Date: 11/7/2012

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 12/14/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 8/8/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/25/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/4/2015

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 1/15/2014

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/20/2013

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 2/14/2012

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

NASSAU STREET SECURITIES, LLC

NASSAU STREET SECURITIES LLC | NASSAU STREET SECURITIES, LLC

CRD#: 339050 / SEC#: , 8-71448

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

40 Wall Street, Suite 2839, New York, NY 10005

Mailing Address

40 Wall Street, Suite 2839, New York, NY 10005

Phone number

(239) 235-1960

Established

Delaware since 04/21/2025

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NASSAU STREET USA HOLDINGS LLC	SOLE MEMBER
KLEINER, JOEL	FINANCIAL OPERATIONS PRINCIPAL	7450898
MANNING, STEVEN ALLEN	DEPUTY CCO	4470995
MORENO ROVIRA, JUAN	PRESIDENT AND ULTIMATE BENEFICIAL OWNER	7574111
PROFFITT, JAY TILDEN	CEO AND CCO	3176046

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.

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Advisor Monitoring

Firm Stability Insights

Steven A. Manning

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Allen Manning's CRS (Customer Relationship Summary).

Certified licenses

Experience

GIGASTAR SECURITIES, LLC

NASSAU STREET SECURITIES, LLC

NETSHARES FINANCIAL SERVICES LLC

CHARLES SCHWAB & CO., INC.

OPTIONSXPRESS, INC.

GH TRADERS LLC

GH TRADERS LLC

GELBER SECURITIES, LLC

E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/2013

Series 79TO

Date: 2/26/2026

SIE

Date: 10/1/2018

Series 52

Date: 4/21/2015

Series 34

Date: 11/7/2012

Series 3

Date: 12/14/2011

Series 55

Date: 8/8/2002

Series 7

Date: 7/25/2002

Series 24

Date: 2/4/2015

Series 10

Date: 1/15/2014

Series 9

Date: 11/20/2013

Series 4

Date: 2/14/2012

FINRA

Current Firm

NASSAU STREET SECURITIES, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NASSAU STREET SECURITIES, LLC

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