ES
Emily J. Sweet
WELLINGTON FUNDS DISTRIBUTORS
Boston, MA 02210
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CRD#: 4693658
ES
Professional summary
Emily Jean Sweet, who also goes by Emily J Sweet, is a registered financial professional currently at WELLINGTON FUNDS DISTRIBUTORS INC. located in Boston, Massachusetts.
Emily is registered as a RR (Registered Representative) and started their career in finance in 2003. Emily has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Emily J Sweet
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.
CRS (Client Relationship Summary) - BD
Click below to view Emily Jean Sweet's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 26, 2023 - Present
WELLINGTON FUNDS DISTRIBUTORS INC.
Office #1: 280 Congress Street, Boston, MA 02210BD
CRD#: 152768
Boston, MA
Past
October 13, 2006 - May 2, 2013
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
BOSTON, MA
Past
May 24, 2006 - May 2, 2013
BLACKROCK FINANCIAL MANAGEMENT, INC
RIA
CRD#: 107105
BOSTON, MA
Past
August 22, 2005 - May 25, 2006
BLACKROCK CAPITAL MANAGEMENT, INC.
RIA
CRD#: 108069
NEW YORK, NY
Past
July 26, 2005 - October 17, 2006
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
BD
CRD#: 17580
BOSTON, MA
Past
September 3, 2003 - June 17, 2005
G.RESEARCH, LLC
BD
CRD#: 7353
RYE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/14/2023)
RR
Alaska(7/14/2023)
RR
Arizona(7/14/2023)
RR
Arkansas(7/14/2023)
RR
California(7/14/2023)
RR
Colorado(7/14/2023)
RR
Connecticut(7/14/2023)
RR
Delaware(7/14/2023)
RR
District of Columbia(7/14/2023)
RR
Florida(7/14/2023)
RR
Georgia(7/14/2023)
RR
Hawaii(7/14/2023)
RR
Idaho(7/14/2023)
RR
Illinois(7/14/2023)
RR
Indiana(7/14/2023)
RR
Iowa(7/14/2023)
RR
Kansas(7/14/2023)
RR
Kentucky(7/14/2023)
RR
Louisiana(7/14/2023)
RR
Maine(7/14/2023)
RR
Maryland(7/14/2023)
RR
Massachusetts(6/12/2023)
RR
Michigan(7/14/2023)
RR
Minnesota(7/14/2023)
RR
Mississippi(7/14/2023)
RR
Missouri(7/14/2023)
RR
Montana(7/14/2023)
RR
Nebraska(7/14/2023)
RR
Nevada(7/14/2023)
RR
New Hampshire(7/14/2023)
RR
New Jersey(7/14/2023)
RR
New Mexico(7/14/2023)
RR
New York(7/14/2023)
RR
North Carolina(7/14/2023)
RR
North Dakota(7/14/2023)
RR
Ohio(7/14/2023)
RR
Oklahoma(7/14/2023)
RR
Oregon(7/14/2023)
RR
Pennsylvania(7/14/2023)
RR
Rhode Island(7/14/2023)
RR
South Carolina(7/14/2023)
RR
South Dakota(7/14/2023)
RR
Tennessee(7/14/2023)
RR
Texas(7/14/2023)
RR
Utah(7/14/2023)
RR
Vermont(7/14/2023)
RR
Virginia(7/14/2023)
RR
Washington(7/14/2023)
RR
West Virginia(7/14/2023)
RR
Wisconsin(7/14/2023)
RR
Wyoming(7/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/25/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLINGTON FUNDS DISTRIBUTORS INC.
WELLINGTON FUNDS DISTRIBUTORS INC. | WELLINGTON MANAGEMENT ADVISERS, INC
CRD#: 152768 / SEC#: , 8-68476
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Contact information
Main Address
280 Congress Street, Boston, MA 02210
Mailing Address
280 Congress Street, Boston, MA 02210
Phone number
(617) 951-5000
Established
Delaware since 10/29/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | HOLDING COMPANY | |
| COYNE, LAURA ANN ESQ. | DIRECTOR | 7053320 |
| GEORGE, JEFFREY BRIAN | DIRECTOR | 8180600 |
| KOPEC, CHRISTINA | DIRECTOR | 5929352 |
| MACKENZIE, BRENDAN MICHAEL | DIRECTOR | 5051963 |
| MARTIN, SARA ANN | CHIEF LEGAL OFFICER | 7469775 |
| MILLEN, SARAH MACKTEZ | CHIEF FINANCIAL OFFICER | 7116565 |
| SHANNON, MARY KEHOE | PRESIDENT | 6439388 |
| SHANNON, MARY KEHOE | DIRECTOR | 6439388 |
| WILLIAMS, ASHLEY LEIGH | CHIEF COMPLIANCE OFFICER | 5498874 |
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.
