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Christopher Temple Emmet Ii

CRD# 2219039·Registered 1993 - 2022
Previously Registered: Being a previously registered professional could mean that Christopher 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.

Professional Summary

Christopher Temple Emmet II, who also goes by Christopher Temple Emmet Jr, Christopher Temple Emmet, Jr Emmet, was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 1993 - 2022. Christopher had worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 52 and Series 53 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Christopher Temple Emmet Jr, Christopher Temple Emmet, Jr Emmet

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

EMMET & CO, INC.·CRD# 15993
BD
Far Hills, NJ
June 17, 2010 - May 12, 2022
EMMET & CO, INC.·CRD# 15993
BD
March 10, 1993 - October 26, 1993

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Current Firm

E&
EMMET & CO, INC.

ELMSFORD ASSOCIATES, INC. | EMMET & CO, INC.

CRD#: 15993 / SEC#: 8-33073
BD
Terminated by SEC on 06/24/2024

Contact Information

Established

New Jersey since 01/19/1983

Firm Type

Corporation

Fiscal Year End

March

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
EMMET, CHRISTOPHER TEMPLEPRESIDENT, CEO, CFO, CCO200954

Disclosures

Regulatory Event

4

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2009About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2012About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Jul 2009About the Series 52 exam

Series 53 — Municipal Securities Principal Examination

Passed Sep 2012About the Series 53 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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