Emily B. Enos
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 Beatrice Enos was a registered financial professional .
Emily is a previously registered financial professional and started their career in finance in 1998. Emily had worked at 4 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
October 23, 2014 - February 9, 2016
WMSI SECURITIES LLC
October 23, 2009 - September 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 24, 1998 - October 26, 2006
FIDELITY BROKERAGE SERVICES 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
WMSI SECURITIES LLC
CRD#: 134293 / SEC#: , 8-66829
Contact information
Documents
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.
