Emily K. Tubesing

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CRD#: 3007263

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 Kate Tubesing, who also goes by Kate Tubesing, was a registered financial professional .

Emily is a previously registered financial professional and started their career in finance in 1998. Emily had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kate Tubesing

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 14, 2023 - November 1, 2024

HAUSER RETIREMENT SOLUTIONS 2 LLC

RIA

CRD#: 299959

Cincinnati, OH

Past

January 19, 2017 - February 11, 2022

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

Florence, KY

Past

January 19, 2017 - February 11, 2022

STANCORP EQUITIES, INC.

CRD#: 19517

CINCINNATI, OH

Past

April 7, 2015 - January 10, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

Past

April 3, 2014 - January 13, 2015

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

CINCINNATI, OH

Past

April 2, 2014 - January 13, 2015

STANCORP EQUITIES, INC.

CRD#: 19517

CINCINNATI, OH

Past

August 6, 2013 - March 28, 2014

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

January 1, 2008 - April 17, 2012

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

Past

July 26, 2006 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

EL SEGUNDO, CA

Past

April 6, 2005 - June 16, 2009

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WOODLAND HILLS, CA

Past

September 20, 2004 - August 1, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

July 11, 2000 - October 13, 2004

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

April 3, 1998 - June 21, 2000

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HAUSER RETIREMENT SOLUTIONS 2 LLC

CRD#: 299959 / SEC#: 801-117147

RIA

Registered Investment Advisory firm - (8/15/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/11/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/1998

General Securities Representative Examination

Current Firm

HAUSER RETIREMENT SOLUTIONS 2 LLC

CRD#: 299959 / SEC#: 801-117147

RIA

Registered Investment Advisory firm - (8/15/2019 Approved)

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Contact information

Main Address

5905 E Galbraith Rd, Suite 9000, Cincinnati, OH 45236

Mailing Address

Phone number

(513) 745-9200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

HRS 2 ADV PART 2A BROCHURE 02 2025 (2/19/2025)

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 1,170,397,205

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.

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Advisor Monitoring

Firm Stability Insights

Emily K. Tubesing

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STANCORP INVESTMENT ADVISERS, INC.

STANCORP EQUITIES, INC.

FIDELITY BROKERAGE SERVICES LLC

STANCORP INVESTMENT ADVISERS, INC.

STANCORP EQUITIES, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

HAUSER RETIREMENT SOLUTIONS 2 LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/2005

Series 63

Date: 2/27/1998

SIE

Date: 10/1/2018

Series 7

Date: 4/2/1998

Current Firm

HAUSER RETIREMENT SOLUTIONS 2 LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HAUSER RETIREMENT SOLUTIONS 2 LLC

TRUST BUT VERIFY

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