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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Emily? Claim Your ProfileEmily Abernethy is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Emily has been in the industry since 1992. Prior to joining Merrill Lynch, Emily worked at Barclays Capital Inc. and Lehman Brothers Inc. Emily holds several securities licenses, including Series 3, 6, 7, 26, 63 and 66. Emily is registered to provide investment advice in 24 states. Emily specializes in providing investment advice to individuals, corporations, and retirement plans.
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
TX
10/07/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
09/22/2008 - 07/07/2015
BARCLAYS CAPITAL INC. (HOUSTON TX)
TX
04/27/2006 - 09/22/2008
LEHMAN BROTHERS INC. (HOUSTON TX)
TX
04/02/1992 - 12/21/2005
A I M DISTRIBUTORS, INC. (HOUSTON TX)
BOTH
Issued 08/30/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/26/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/1995
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2014
Series 3 - National Commodity Futures Examination
BC
Issued 07/17/2006
Series 7 - General Securities Representative Examination
BC
Issued 03/23/1992
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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