Emily J. Sheu
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 Jarlin Sheu, CFP®, who also goes by Emily J Sheu, Emily Jarlin Sheu, Emily Sheu, was a registered financial professional .
Emily is a previously registered financial professional and started their career in finance in 2008. Emily had worked at 5 firms and has passed the Series 66, 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
November 12, 2021 - March 20, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 5, 2021 - March 20, 2023
FIDELITY BROKERAGE SERVICES LLC
January 12, 2017 - June 9, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 10, 2017 - June 9, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2015 - January 3, 2017
SHEU WEALTH MANAGEMENT, LLC
April 20, 2012 - January 20, 2015
UBS FINANCIAL SERVICES INC.
April 20, 2012 - January 20, 2015
UBS FINANCIAL SERVICES INC.
July 16, 2008 - April 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2008 - April 23, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
