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Summer S. Sterling

FIRST MANHATTAN SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 7580079
SS

Professional summary

Summer S Sterling is a registered financial professional currently at FIRST MANHATTAN SECURITIES LLC located in New York, New York.

Summer is registered as a RR (Registered Representative) and started their career in finance in 2023. Summer has worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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 Summer S Sterling'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

April 1, 2023 - Present

FIRST MANHATTAN SECURITIES LLC

Office #1: 399 Park Avenue, New York, NY 10022
BD
CRD#: 1845
New York, NY

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
New York
(5/1/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/1/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/1/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/14/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

FIRST MANHATTAN SECURITIES LLC
FIRST MANHATTAN SECURITIES LLC
FIRST MANHATTAN CO | FIRST MANHATTAN SECURITIES LLC | FIRST MANHATTAN CO. LLC

CRD#: 1845 / SEC#: 801-12411, 8-10438

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

Main Address
399 Park Avenue, New York, NY 10022
Mailing Address
399 Park Avenue, New York, NY 10022
Phone number
(212) 756-3300
Established
Delaware since 11/02/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
114

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
FMC GROUP HOLDINGS LPLIMITED PARTNERSHIP
WYDRA, ZACHARY ACHIEF EXECUTIVE OFFICER2937857
ASPEN, ANDREW JOSEPHCHIEF LEGAL OFFICER5282749
COVINO, JEREMY PAULCHIEF COMPLIANCE OFFICER (FOR PURPOSES OF FINRA RULE 3130)6794503
PINTO, ALVARO SPINOLAFINOP/PRINCIPAL OPERATIONS OFFICER6367887
SAMMARCO, JOSEPH ANTHONYCO-DIRECTOR OF OPERATIONS; HEAD OF SUPERVISION2982052

Regulatory assets under management

Total Number of Accounts5,308
AUM (Assets Under Management)$ 29,853,233,052

Disclosures

Regulatory Event10

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/22/2022
Cover Page
Report

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

FIRST MANHATTAN SECURITIES LLC

FIRST MANHATTAN SECURITIES LLC

CRD#: 1845New York, NY 10022

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