Emmett M. Abercrombie
Professional summary
Emmett Maurice Abercrombie was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Emmett is a previously registered financial professional and started their career in finance in 1964. Prior to being barred, Emmett had worked at 10 firms, which includes WADDELL & REED, A. G. EDWARDS & SONS INC., GREEN HILL FINANCIAL SERVICE CORPORATION, E. F. HUTTON & COMPANY INC, CITIGROUP GLOBAL MARKETS INC., XANDU SECURITIES GROUP INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC., DEAN WITTER & CO. INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 1990 - July 18, 2002
WADDELL & REED
December 1, 1988 - December 1, 1989
A. G. EDWARDS & SONS, INC.
October 23, 1987 - August 16, 1988
GREEN HILL FINANCIAL SERVICE CORPORATION
October 26, 1984 - September 20, 1985
E. F. HUTTON & COMPANY INC
March 8, 1983 - October 18, 1984
CITIGROUP GLOBAL MARKETS INC.
December 9, 1982 - April 4, 1983
XANDU SECURITIES GROUP, INC.
October 8, 1980 - October 27, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1978 - February 19, 1991
MORGAN STANLEY DW INC.
December 16, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
May 11, 1964 - February 6, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 3/7/1989
AMEX Put and Call ExamSeries 1
Date: 5/8/1964
Registered Representative ExaminationSeries 000
Date: 5/7/1964
General Securities Principal ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
