Robert J. Emmel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert John Emmel was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2002 - February 9, 2005
EMPIRE FINANCIAL GROUP, INC.
January 24, 2001 - June 18, 2002
RUSHMORE SECURITIES CORPORATION
October 20, 2000 - March 8, 2001
NORTHSTAR SECURITIES, INC.
January 21, 2000 - March 29, 2000
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMPIRE FINANCIAL GROUP, INC.
CRD#: 28759 / SEC#: , 8-43949
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | HOLDING COMPANY | |
| UCHENIK, VLAD | FINOP, COO, CFO | 4071805 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
