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Carmine Manna

Stifel, Nicolaus & Company, Incorporated
39 Years of Experience
Walnut Creek, CA
4 DisclosuresBroker
View SEC Summary
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Carmine Manna is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Walnut Creek, CA, with 39 years of industry experience. Carmine is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

500 Ygnacio Valley Road, Suite 490, Walnut Creek, CA, 94596

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 1996
Final
Regulatory
April 1994
Final
Customer Dispute
June 1992
Settled
Customer Dispute
March 1992
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carmine is the owner of a rental property held in The Manna Family Trust since 2013, dedicating minimal time. He is also the Membership Chairperson for the Rotary Club of Scottsdale North, spending a few hours per week in this role.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
August 2008 - Present · 18 yrs 2 mos
Stifel, Nicolaus & Company, IncorporatedBroker
August 2008 - Present · 18 yrs 2 mos
Previous Registrations
RBC Capital Markets Corporation
September 2005 - August 2008 · 2 yrs 11 mos
RBC Capital Markets CorporationBroker
March 2002 - August 2008 · 6 yrs 5 mos
Sutro & CO. IncorporatedBroker
March 1994 - March 2002 · 8 yrs
Lehman Brothers INC.Broker
February 1987 - March 1994 · 7 yrs 1 mo
State Registrations34 states
AKALAZCACOCTFLGAHIIDILINLAMAMDMEMIMNMOMTNCNJNMNVNYOHORPASCTNTXUTVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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