Manuela Archer Groubert
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.
Manuela Archer Groubert, who also goes by Manuela Archer, Nella Archer, was a registered financial professional .
Manuela is a previously registered financial professional and started their career in finance in 1987. Manuela had worked at 8 firms and has passed the Series 63, SIE 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
September 27, 2013 - June 8, 2016
EMBARCADERO FINANCIAL GROUP
May 21, 2013 - December 31, 2014
ON INVESTMENT MANAGEMENT CO
May 21, 2013 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
June 21, 2001 - May 22, 2013
MML INVESTORS SERVICES, LLC
March 5, 1999 - May 22, 2013
MML INVESTORS SERVICES, LLC
January 2, 1998 - March 5, 1999
CADARET, GRANT & CO., INC.
May 19, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
January 17, 1996 - May 14, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 24, 1987 - January 4, 1996
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
EMBARCADERO FINANCIAL GROUP
CRD#: 140929 / SEC#: 801-118400
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
EMBARCADERO FINANCIAL GROUP
CRD#: 140929 / SEC#: 801-118400
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 159,889,835 |
Red Flags
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