Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Emma? Claim Your ProfileEmma Rosalind Taylor is a financial professional with over 25 years of experience in the industry. Emma is currently registered with Wells Fargo Clearing Services, LLC, and holds a variety of licenses and registrations, including Series 2, 3, 7, 9, 10, 63, and SIE. Emma has previously worked for CHARLES SCHWAB & CO., INC. and BZW SECURITIES INC. Emma provides a variety of financial services, including portfolio management, financial planning, and investment consulting.
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.
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.
Investment consulting services to institutional clients
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
CA
10/10/2012 - Present
Wells Fargo Clearing Services, LLC (CORTE MADERA CA)
CA
04/18/1997 - 02/28/2011
CHARLES SCHWAB & CO., INC. (WALNUT CREEK CA)
NY
01/01/1997 - 01/10/1997
BZW SECURITIES INC. (NEW YORK NY)
BC
Issued 05/28/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/05/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1996
Series 7 - General Securities Representative Examination
BC
Issued 02/16/1996
Series 3 - National Commodity Futures Examination
BC
Issued 11/13/1995
Series 2 - Non-Member General Securities Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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