Rachel B. Jackson
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.
Rachel Barbara Jackson, who also goes by Rachel Barbara Penn, was a registered financial professional .
Rachel is a previously registered financial professional and started their career in finance in 2006. Rachel had worked at 6 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 82, Series 22, Series 6, Series 7, Series 31 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2016 - August 21, 2019
EMERSON EQUITY LLC
July 21, 2015 - March 18, 2016
FIRST FOUNDATION ADVISORS
January 28, 2014 - June 23, 2015
CAPITAL CLIENT GROUP, INC.
January 2, 2014 - June 23, 2015
CAPITAL CLIENT GROUP, INC.
June 16, 2009 - September 6, 2011
MORGAN STANLEY
June 1, 2009 - September 6, 2011
MORGAN STANLEY
May 13, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 18, 2006 - December 13, 2006
MORGAN STANLEY DW INC.
September 4, 2006 - December 13, 2006
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
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
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
