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Simon Stone Manning

Citizens JMP Securities, LLC

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About Simon Stone Manning

Simon Manning has been in the financial services industry since November 10, 1999. Simon is currently registered with Citizens JMP Securities, LLC in San Francisco, CA and holds Series 4, 7, 24, 57TO, and 63 licenses. Simon has previously worked for X-CHANGE FINANCIAL ACCESS, LLC, WELLS FARGO SECURITIES, LLC, LAZARD CAPITAL MARKETS LLC, THOMAS WEISEL PARTNERS LLC, PIPER JAFFRAY & CO., BANC OF AMERICA SECURITIES LLC, WESTHOFF, CONE & HOLMSTEDT, and ALAMO CAPITAL.

Firm Information

Simon Manning is currently registered with Citizens JMP Securities, LLC. Citizens JMP Securities, LLC, a Limited Liability Company, was formed in 2002 and is approved in all 50 states and the District of Columbia. The firm has received one SEC registration and 51 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

238

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Simon Manning’s Registration & Firm History

CA

09/11/2023 - Present

Citizens JMP Securities, LLC (SAN FRANCISCO CA)

IL

08/11/2020 - 08/22/2022

X-CHANGE FINANCIAL ACCESS, LLC (CHICAGO IL)

CA

04/01/2013 - 09/24/2018

WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)

CA

03/14/2008 - 06/17/2011

LAZARD CAPITAL MARKETS LLC (SAN FRANCISCO CA)

CA

06/05/2007 - 08/22/2007

THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)

CA

06/07/2004 - 05/11/2007

PIPER JAFFRAY & CO. (SAN FRANCISCO CA)

NY

08/24/1999 - 05/06/2003

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

CA

04/11/1990 - 06/26/1996

WESTHOFF, CONE & HOLMSTEDT (WALNUT CREEK CA)

CA

03/04/1993 - 02/09/1995

ALAMO CAPITAL (WALNUT CREEK CA)

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Licenses & Designations

BC

Issued 07/29/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/10/2024

Series 4 - Registered Options Principal Examination

BC

Issued 11/23/2004

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 09/24/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/23/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Simon Stone Manning.
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