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SM

Steven A. Manning

FENNEL
New York, NY 10017
Some features on this profile are disabled
CRD#: 4470995
SM

Professional summary

Steven Allen Manning is a registered financial professional currently at FENNEL located in New York, New York and NETSHARES FINANCIAL SERVICES LLC located in Katy, Texas.

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

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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).
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
BD
CRD#: 316281
New York, NY
Current

September 30, 2025 - Present

NETSHARES FINANCIAL SERVICES LLC

Office #1: 24285 Katy Freeway Suite 300-7, Katy, TX 77494
BD
CRD#: 307532
KATY, TX
Past

August 27, 2015 - January 8, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Chicago, IL
Past

November 15, 2011 - July 21, 2015

OPTIONSXPRESS, INC.

BD
CRD#: 103849
CHICAGO, IL
Past

August 10, 2007 - May 18, 2009

GH TRADERS LLC

BD
CRD#: 36665
CHICAGO, IL
Past

January 12, 2005 - February 16, 2007

GH TRADERS LLC

BD
CRD#: 36665
EVANSTON, IL
Past

November 19, 2002 - January 3, 2005

GELBER SECURITIES, LLC

BD
CRD#: 18367
CHICAGO, IL
Past

July 29, 2002 - October 22, 2002

E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC

BD
CRD#: 1625
CHICAGO, IL

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
Illinois
(6/25/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 4/21/2015
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 34
Date: 11/7/2012
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 12/14/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 8/8/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/25/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/4/2015
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/15/2014
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/20/2013
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/14/2012
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NF
NETSHARES FINANCIAL SERVICES LLC
NETSHARES FINANCIAL SERVICES LLC | NETSHARES INC.

CRD#: 307532 / SEC#: , 8-70502

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
24285 Katy Freeway Suite 300-7, Katy, TX 77494
Mailing Address
5554 S. Peek Road Pmb 8, Katy, TX 77450
Phone number
(800) 216-0360
Established
Delaware since 02/10/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NETSHARES LLCDIRECT OWNER
LEE, DAVID YOUNGCEO/CCO.FINOP2605960

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

NETSHARES FINANCIAL SERVICES LLC

CRD#: 307532New York, NY 10017

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