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ME

Michelle R. Emmons

SOUTHEAST FINANCIAL ADVISORS
Greenville, SC 29601
Some features on this profile are disabled
CRD#: 5492430
ME

Professional summary

Michelle Renee Emmons is a registered financial advisor currently at SOUTHEAST FINANCIAL ADVISORS located in Greenville, South Carolina.

Michelle is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Michelle has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
SOUTHEAST FINANCIAL ADVISORS, LLC 107 MANLY STREET GREENVILLE, SOUTH CAROLINA [29601] BUSINESS IS AN RIA REGISTERED ADVISOR VICE-PRESIDENT START DATE: 10/2005 DEVOTE 170 HOURS PER MONTH - 100 DURING SECURITIES TRADING HOURS TRADING/CASHIERING/CLIENT RELATIONSHIP

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michelle Renee Emmons'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®
None

Experience

Current

March 1, 2011 - Present

SOUTHEAST FINANCIAL ADVISORS

Office #1: C/o 107 Manly Street, Greenville, SC 29601
RIA
CRD#: 121757
Greenville, SC
Past

November 6, 2009 - December 21, 2023

SFA FINANCIAL, LLC

BD
CRD#: 149647
Greenville, SC
Past

March 4, 2008 - October 27, 2009

COLONY PARK FINANCIAL SERVICES LLC.

BD
CRD#: 41534
GREENVILLE, SC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
South Carolina
(3/1/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/25/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/31/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/3/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 51
Date: 8/14/2009
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/15/2009
General Securities Principal Examination

Current Firm

SF
SOUTHEAST FINANCIAL ADVISORS
HARRISON FINANCIAL, LLC | SOUTHEAST FINANCIAL ADVISORS, LLC | SOUTHEAST FINANCIAL ADVISORS | SFA FINANCIAL, LLC

CRD#: 121757 / SEC#: 801-69899

RIA
Registered Investment Advisory firm - (6/21/2012 Terminated)
Georgia
Registered Investment Advisory firm - (1/25/2018 Approved)
Indiana
Registered Investment Advisory firm - (2/20/2009 Terminated)
Louisiana
Registered Investment Advisory firm - (5/28/2015 Approved)
North Carolina
Registered Investment Advisory firm - (5/22/2012 Approved)
South Carolina
Registered Investment Advisory firm - (6/21/2012 Approved)
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Contact information

Main Address
C/o 107 Manly Street, Greenville, SC 29601
Mailing Address
1708 Augusta St Suite C #9, Greenville, SC 29605
Phone number
(864) 284-6511
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts721
AUM (Assets Under Management)$ 113,575,078

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.

Company Information

SOUTHEAST FINANCIAL ADVISORS

CRD#: 121757Greenville, SC 29601

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