Mark Joseph Manning

Current Employers

Employment History

• 02/2012 → 07/2019
  Ct Financial Advisors, Llc
  Chadds Ford, PA
• 06/2019 → 06/2023
  United Capital Financial Advisers, Llc
  Newport Beach, CA
• 08/2023 → Present
  Compass Ion Advisors, Llc
  Conshohocken, PA

Previous Registrations

• 2019-06-21 → 2023-06-06
  United Capital Financial Advisors
  Chadds Ford, PA
• 2012-02-01 → 2019-07-15
  Captrust Financial Advisors
  Chadds Ford, PA
• 2009-11-23 → 2012-04-02
  Fintrust Capital Advisors, Llc
  Chadds Ford, PA
• 2006-06-29 → 2009-11-13
  American Securities Group, Inc.
  Charlotte, NC
  Chadds Ford, PA
• 2002-06-19 → 2006-06-16
  Wells Fargo Advisors Financial Network, Llc
  Chadds Ford, PA
• 1998-04-28 → 2002-06-20
  Captrust Financial Advisors, Llc
  Chadds Ford, PA

Other Businesses

(1.) NAME OF OBA: HARRY COHEN FOUNDATION; ADDRESS OF OBA: WILMINGTON, DE; NATURE: CHARITABLE ORGANIZATION; INVESTMENT RELATED: NO; TITLE WITH OBA: BOARD MEMBER; DUTIES: REVIEWING INVESTMENT ACCOUNTS AND DECIDING ON DONATIONS; START DATE: 11/03/2014; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (2.) NAME OF OBA: UNITED STATES TENNIS ASSOCIATION, INC.; ADDRESS OF OBA: WHITE PLAINS, NY; NATURE: NATIONAL GOVERNING BODY FOR TENNIS IN THE UNITED STATES; INVESTMENT RELATED: NO; TITLE WITH OBA: INVESTMENT COMMITTEE MEMBER; DUTIES: OVERSIGHT OF THE MIDDLE STATES' 401(K) PLAN FOR THEIR EMPLOYEES; START DATE: 06/15/2020; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: DELAWARE LAWYERS' FUND FOR CLIENT PROTECTION; ADDRESS OF OBA: WILMINGTON, DE 19801; NATURE: OVERSEE FUNDS FOR CLAIMS AGAINST LAWYERS MIS-HANDLING OF CLIENT FUNDS AND FOR LAW FIRM AUDITS; INVESTMENT RELATED: YES; RELATIONSHIP WITH OBA: BOARD OF TRUSTEES MEMBER; DUTIES: LAY PERSON MEMBER OF BOARD OF TRUSTEES; START DATE: 05/2023; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 1

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-05-18
• S63 Uniform Securities Agent State Law Examination
  1994-06-27