Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Emerson? Claim Your ProfileEmerson Knowles is a financial advisor with over 40 years of experience in the industry. Emerson is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Ohio and Texas, and is also registered as an Investment Advisor in Ohio and Texas. Previously, Emerson was a financial advisor at Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Lehman Brothers Inc. Emerson holds Series 3, 7, 63 and 65 licenses as well as the Securities Industry Essentials (SIE) Exam. Emerson offers a variety of financial services, including portfolio management for individuals and businesses, as well as pension consulting and educational seminars. Emerson is a member of the Rotary Club of Saddlebrooke Foundation Board, and speaks and trains for FI360, the Center for Fiduciary Studies.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
01/08/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CINCINNATI OH)
OH
06/01/2009 - 01/20/2010
MORGAN STANLEY SMITH BARNEY (CINCINNATI OH)
OH
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CINCINNATI OH)
NY
08/26/1982 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/24/1979 - 09/10/1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 10/21/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/1982
Series 3 - National Commodity Futures Examination
BC
Issued 10/20/1979
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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