Emily R. Paquette
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.
Emily Ruth Paquette was a registered financial professional .
Emily is a previously registered financial professional and started their career in finance in 1995. Emily had worked at 10 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
August 14, 2018 - January 6, 2021
TD AMERITRADE, INC.
August 4, 2016 - August 19, 2016
OSAIC WEALTH, INC.
August 13, 2013 - October 1, 2014
FELTL & COMPANY
January 3, 2011 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 6, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 12, 2006 - December 31, 2008
UBS FINANCIAL SERVICES INC.
December 14, 2001 - August 12, 2006
PIPER SANDLER & CO.
January 1, 2001 - December 14, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
April 14, 1997 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
October 16, 1995 - March 20, 1997
COLLIERS SECURITIES 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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