Emily T. Rae
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 Tuyet Rae, who also goes by Emily Tuyet Pickett, Emily Rae, was a registered financial professional .
Emily is a previously registered financial professional and started their career in finance in 1996. Emily had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 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 - April 17, 2026
HARTFORD FUNDS DISTRIBUTORS, LLC
April 4, 2008 - September 16, 2013
VOYA INVESTMENT MANAGEMENT CO. LLC
November 15, 2007 - September 16, 2013
VOYA INVESTMENTS DISTRIBUTOR, LLC
July 9, 2002 - November 12, 2007
AQUILA DISTRIBUTORS LLC
April 17, 2001 - June 5, 2002
CSB INVESTMENTS CO.
January 25, 2001 - March 6, 2001
J. SCOTT SECURITIES CORP.
April 3, 2000 - January 19, 2001
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
March 18, 1998 - March 17, 2000
KFS BD, INC.
March 18, 1997 - March 12, 1998
U.S. BANCORP INVESTMENTS, INC.
June 14, 1996 - March 17, 1997
BOFA DISTRIBUTORS, INC.
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
HARTFORD FUNDS DISTRIBUTORS, LLC
CRD#: 45995 / SEC#: 801-53584, 8-51290
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FUNDS MANAGEMENT GROUP, INC | OWNER OF HARTFORD FUNDS DISTRIBUTORS, LLC | |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, SR. MANAGING DIRECTOR | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, BOARD MANAGER, EXECUTIVE VICE PRESIDENT | 4835814 |
| GARGER, WALTER FRANCIS | GENERAL COUNSEL AND MANAGING DIRECTOR | 4753411 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| JORENS, KATHLEEN E | TREASURER, SENIOR VICE PRESIDENT | 6145607 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | AML OFFICER, EXECUTIVE VICE PRESIDENT | 3152206 |
| SWANSON, MARTIN ALLEN | CHIEF MARKETING OFFICER, VICE PRESIDENT | 1414020 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
