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DENISE ELLEN MANNING
DENISE E FARRELLY, DENISE E MANNING
CRD#: 1559935
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 West Putnam Avenue
2nd floor
GREENWICH, CT 06830
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - Present (25 years)
License(s)

State Registrations

B
Arizona 1/31/2001

B
Montana 6/14/2022

B
Arkansas 3/23/2023

B
Nevada 3/10/2023

B
California 1/31/2001

B
New Hampshire 1/31/2001

B
Colorado 9/11/2000

B
New Jersey 9/3/1999

B
Connecticut 9/13/1999

B
New Mexico 6/14/2022

IA
Connecticut 11/19/1999

B
New York 9/13/1999

B
Delaware 6/14/2022

IA
New York 12/11/2021

B
District of Columbia 9/24/2020

B
North Carolina 9/13/2000

B
Florida 1/10/2000

B
Ohio 6/14/2022

IA
Florida 2/2/2022

B
Oregon 10/25/2019

B
Georgia 1/31/2001

B
Pennsylvania 11/30/1999

B
Hawaii 6/14/2022

B
Puerto Rico 8/17/2020

B
Idaho 6/14/2022

B
Rhode Island 2/1/2001

B
Illinois 1/13/2000

B
South Carolina 6/14/2022

B
Indiana 6/14/2022

B
Tennessee 8/19/2021

B
Iowa 6/14/2022

IA
Texas 12/2/2002

B
Kentucky 5/10/2023

B
Texas 11/21/2019

B
Louisiana 6/14/2022

B
Utah 9/30/2021

B
Maine 6/14/2022

B
Vermont 6/14/2022

B
Maryland 6/26/2019

B
Virginia 2/11/2000

B
Massachusetts 1/31/2001

B
Washington 4/12/2012

B
Minnesota 6/14/2022

B
Wisconsin 9/23/2009

B
Missouri 6/14/2022

B
Wyoming 6/14/2022

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 West Putnam Avenue 2nd floor, GREENWICH, CT 06830
Venice, FL
Registered with this firm since 11/19/1999

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 West Putnam Avenue 2nd floor, GREENWICH, CT 06830
Venice, FL
Registered with this firm since 9/3/1999

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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.