AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AM

Ana M. Manning

ACORNS SECURITIES
Irvine, CA 92617
Some features on this profile are disabled
CRD#: 5037256
AM

Professional summary

Ana M Manning, who also goes by Ana M Diaz, Ana M Manning, Ana Melina Manning, is a registered financial professional currently at ACORNS SECURITIES, LLC located in Irvine, California.

Ana is registered as a RR (Registered Representative) and started their career in finance in 2011. Ana has worked at 4 firms and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ana M Diaz | Ana M Manning | Ana Melina Manning

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 Ana M 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 15, 2021 - Present

ACORNS SECURITIES, LLC

Office #1: 5300 California Avenue, Irvine, CA 92617
BD
CRD#: 168172
Irvine, CA
Past

October 4, 2018 - May 17, 2021

SAFRA SECURITIES LLC

BD
CRD#: 47873
NEW YORK, NY
Past

February 28, 2018 - October 1, 2018

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

July 8, 2011 - October 11, 2017

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 7/7/2011
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ACORNS SECURITIES, LLC
ACORNS SECURITIES, LLC

CRD#: 168172 / SEC#: , 8-69294

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
5300 California Avenue, Irvine, CA 92617
Mailing Address
5300 California Avenue, Irvine, CA 92617
Phone number
(855) 739-2859
Established
Delaware since 04/09/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
ACORNS GROW INCORPORATEDMANAGING MEMBER
CHISOLM, DENISECHIEF COMPLIANCE OFFICER2743307
HARPER, DEREKCONTROLLER, FINOP6402693
SULLIVAN, BEAUCHIEF EXECUTIVE OFFICER5151289

Disclosures

Regulatory Event2

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

ACORNS SECURITIES, LLC

CRD#: 168172Irvine, CA 92617

TRUST BUT VERIFY

Monitor Ana Manning

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Barton S Pearce
Barton PearceAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
IRVINE, CA
Ryan Anthony Gallo
Ryan GalloAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
FULLERTON, CA
Michael Gregory Jensen
Michael JensenAdvisorCheck Check Mark
FALCON WEALTH PLANNING, INC.
IAR
Irvine, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics