Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Emily? Claim Your ProfileEmily Define is a financial professional with over 20 years of experience in the industry. Emily is currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Previously, Emily was registered with BANC OF AMERICA INVESTMENT SERVICES, INC., BANC ONE SECURITIES CORPORATION and SUNAMERICA SECURITIES, INC. Emily holds several industry licenses and certifications, including Series 6, 7, 10, 24, 63 and 65. Emily has a broad range of experience working with clients across various industries, including individuals, corporations, and institutions.
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
AZ
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PEORIA AZ)
MA
07/14/2000 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
IL
04/06/1998 - 12/06/2000
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
AZ
07/23/1997 - 02/24/1998
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IA
Issued 7/22/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/9/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/7/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 4/25/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/15/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/5/1998
Series 7 - General Securities Representative Examination
BC
Issued 7/19/1997
Series 6 - Investment Company Products/Variable Contracts 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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