Allison C. Emmert
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.
Allison Courtney Emmert, who also goes by Allison C Emmert, Allison Cortney Emmert, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 1997. Allison had worked at 6 firms and has passed the Series 63, Series 7TO, 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
October 26, 2018 - May 4, 2021
PZENA FINANCIAL SERVICES, LLC
January 3, 2017 - July 30, 2018
NUVEEN SECURITIES, LLC
September 3, 2015 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
April 1, 2014 - January 30, 2015
FORESIDE FUNDS DISTRIBUTORS LLC
October 24, 2005 - October 16, 2013
PINEBRIDGE SECURITIES LLC
June 16, 2000 - November 7, 2003
COREBRIDGE CAPITAL SERVICES, INC.
December 5, 1997 - May 1, 2000
NUVEEN 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
Series 7TO
Date: 3/29/2024
General Securities Representative ExaminationCurrent Firm
PZENA FINANCIAL SERVICES, LLC
CRD#: 169807 / SEC#: , 8-69390
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PZENA INVESTMENT MANAGEMENT LLC | SHAREHOLDER | 106847 |
| ARNOLD, VALERIE RENE | CO-HEAD OF NORTH AMERICAN DISTRIBUTION | 3257541 |
| COFFEY, STEVEN MARK | CHIEF COMPLIANCE OFFICER | 7692630 |
| DORAN, JESSICA RYAN | CFO/FINOP | 6406095 |
| LIPSEY, WILLIAM LOUIS | CEO | 1553822 |
| TYNDALE, ELIZABETH WEISS | CO-HEAD OF NORTH AMERICAN DISTRIBUTION | 2666648 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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