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FM

Francis C. Manheim

ARK SECURITIES LLC
New York , NY 10005
Some features on this profile are disabled
CRD#: 5844867
FM

Professional summary

Francis Chester Manheim, who also goes by Francis Manheim, is a registered financial professional currently at ARK SECURITIES LLC located in New York , New York.

Francis is registered as a RR (Registered Representative) and started their career in finance in 2010. Francis has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francis Manheim

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 Francis Chester Manheim'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

January 30, 2019 - Present

ARK SECURITIES LLC

Office #1: 44 Wall Street Suite 602, New York , NY 10005Office #2: 1950 University Circle Suite 200, Palo Alto, CA 94303
BD
CRD#: 246787
New York , NY
Past

January 17, 2012 - May 2, 2017

ROSSOFF & CO. LLC

BD
CRD#: 148440
NEW YORK, NY
Past

October 13, 2010 - September 9, 2011

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
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

State Security Law Exam
RR
Series 63
Date: 5/2/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/2/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/11/2010
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ARK SECURITIES LLC
ARK SECURITIES LLC | T&G PRIVATE CAPITAL LLC | HUDSONFIELD SECURITIES LLC

CRD#: 246787 / SEC#: , 8-69629

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

Main Address
1950 University Circle Suite 200, Palo Alto, CA 94303
Mailing Address
1950 University Circle Suite 200, Palo Alto, CA 94303
Phone number
(626) 235-8063
Established
Delaware since 04/21/2015
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OLIVE ASSET MANAGEMENT LLCPARENT COMPANY
GRAY, JOHN CLARKEFINOP/CFO/PFO/POO1367440
TAYLOR, MICAH ANTHONY MR.CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER2890693

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

ARK SECURITIES LLC

CRD#: 246787New York , NY 10005

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