Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Colleen? Claim Your ProfileColleen Brophy-emma is a financial advisor registered in New Jersey, currently working with LPL Enterprise, LLC. Colleen has been in the financial services industry since 1996. Before joining LPL Enterprise, LLC, Colleen was with Morgan Stanley and Fidelity Brokerage Services LLC. Colleen holds the Series 66, Series 65, Series 63, Series 7, and SIE licenses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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NJ
11/14/2024 - Present
LPL Enterprise, LLC (BASKING RIDGE NJ)
NY
09/15/2022 - 09/13/2023
MORGAN STANLEY (New York NY)
NJ
08/03/2020 - 10/20/2021
FIDELITY BROKERAGE SERVICES LLC (WAYNE NJ)
NY
01/01/2010 - 10/12/2018
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
09/17/2001 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
02/09/1998 - 09/17/2001
UBS WARBURG LLC (NEW YORK NY)
NY
09/06/1995 - 01/17/1997
CHASE MANHATTAN CAPITAL FINANCE CORPORATION (NEW YORK NY)
NY
05/11/1990 - 09/10/1993
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
11/22/1989 - 05/14/1990
ROOSEVELT & CROSS, INCORPORATED (NEW YORK NY)
BOTH
Issued 11/23/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/03/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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