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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Emilie? Claim Your ProfileEmilie Kay Theriot is a financial advisor registered with Raymond James & Associates, Inc. with a license active in Ohio. Emilie has been in the financial services industry since June 5, 2007. Before joining Raymond James & Associates, Inc., Emilie was associated with MORGAN KEEGAN & COMPANY, INC., MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. Emilie has passed several industry exams including the Series 66, Series 10, Series 9, SIE, and Series 7. Emilie provides financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, and portfolio management for individuals.
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.
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.
Please see note in schedule d - miscellaneous
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
02/13/2013 - Present
Raymond James & Associates, Inc. (Centerville OH)
OH
03/19/2012 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MIAMISBURG OH)
OH
06/01/2009 - 03/28/2012
MORGAN STANLEY SMITH BARNEY (CENTERVILLE OH)
OH
06/05/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CENTERVILLE OH)
BOTH
Issued 09/17/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/19/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/11/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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