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First Manhattan Co. LLC CRD 325281
$38.1B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
399 Park Avenue, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-09 |
| NY | RA | APPROVED | 2024-06-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2016 | 09/2016 |
| Northwestern Mutual Investment Services Llc | New York | NY | 01/2017 | 09/2020 |
| Brad Smith | New York | NY | 09/2018 | 09/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2018 | 09/2020 |
| Morgan Stanley | Washington Dc | DC | 09/2020 | 09/2021 |
| Boston University | Boston | MA | 04/2012 | 05/2016 |
| Adam Seiden | New York | NY | 01/2017 | 09/2020 |
| Adam Seiden | New York | NY | 10/2016 | 12/2016 |
| Jeffrey Buffum | New York | NY | 04/2022 | 07/2023 |
| Northwestern Mutual Investment Services Llc | New York | NY | 04/2022 | 07/2023 |
| Student | Washington Dc | DC | 09/2021 | 08/2023 |
| First Manhattan Securities Llc | New York | NY | 05/2024 | Present |
| Unemployed | New York | NY | 09/2023 | 04/2024 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 2017-09-18 |
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