John L. Manley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John L Manley, who also goes by John L Manley Jr., John Leo Manley Jr., was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2011 - November 14, 2018
ALLSPRING FUNDS DISTRIBUTOR, LLC
April 12, 2010 - March 15, 2011
UBS FINANCIAL SERVICES INC.
November 12, 2009 - March 15, 2011
UBS FINANCIAL SERVICES INC.
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
January 19, 1980 - October 22, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationCurrent Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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