JM
Julie T. Manning
PROSPERITY CAPITAL ADVISORS
Powhatan, VA 23139
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CRD#: 5664823
JM
Professional summary
Julie Thompson Manning, who also goes by Julie Thompson Prior, Julie Prior, Julie Smith, Julie S. Thompson, Julie Thompson, Julie Smith Thompson, Julie Wray, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Powhatan, Virginia.
Julie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Julie has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Julie Thompson Prior | Julie Prior | Julie Smith | Julie S. Thompson | Julie Thompson | Julie Smith Thompson | Julie Wray
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.
1) Julie Manning is an agent of and receives residual trails from AFLAC insurance company. She no longer is active in this activity. 2) Julie Manning works with the Virginia chapter of the American Financial Education Alliance (AFEA), a nonprofit organization providing financial education. Julie is an instructor conducting several seminars per month to help eliminate financial illiteracy as part of her marketing efforts. No product sales or company names are discussed at these seminars. Approximately 5 hours/month during non-trading hours. 3) Julie Manning is a licensed insurance agent. In this capacity, Julie may offer fixed insurance products through a variety of insurance companies and receive normal and customary commissions as a result of any purchases made by clients. Approximately 20 hours/month during trading hours. 4) Julie Manning is the Owner of Keystone Wealth Management, LLC which is the operating entity for Ms. Manning's advisory and insurance business. Ms. Manning spends approximately forty hours per week during trading hours working under this entity. 5) Julie Manning serves as the Co-Chair of the Brookland Manor Home Owners Association. Ms. Manning spends approximately one hour per month on this activity during non-trading hours. This is not an investment related activity. 6) Julie Manning serves as the Special Events Coordinator of the Powhatan Rotary Club. Ms. Manning spends approximately one hour per month on this activity during non-trading hours. This is not an investment related activity.
CRS (Client Relationship Summary) - RIA
Click below to view Julie Thompson 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
March 25, 2019 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 2162 Plainview Center, Powhatan, VA 23139RIA
CRD#: 156480
Powhatan, VA
Past
March 17, 2016 - March 18, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
RIA
CRD#: 132070
MIDLOTHIAN, VA
Past
December 3, 2012 - November 26, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
GLEN ALLEN, VA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Virginia(3/25/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
