Jerry W. Manning
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.
Jerry Wayne Manning was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1978. Jerry had worked at 13 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2007 - July 2, 2010
B. RILEY WEALTH MANAGEMENT
July 7, 2004 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
November 28, 2001 - July 16, 2004
HARVESTONS SECURITIES, INC.
September 26, 1994 - December 14, 2001
TDI, INCORPORATED
November 10, 1988 - December 30, 1994
THE TRADING DESK, INC.
June 11, 1987 - June 6, 1989
MESA SECURITIES CORPORATION
September 8, 1986 - June 4, 1987
LUMIERE SECURITIES, INC.
February 28, 1986 - July 30, 1986
RAUSCHER PIERCE REFSNES, INC.
March 29, 1985 - January 20, 1986
A. G. EDWARDS & SONS, INC.
September 12, 1984 - March 11, 1985
HILLTOP SECURITIES INC.
February 8, 1979 - April 20, 1983
INSTITUTIONAL EQUITY CORPORATION
September 26, 1978 - March 5, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1978 - March 5, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
