Emily J. Worley
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 Jane Worley, who also goes by Emily Jane Harrison, was a registered financial professional .
Emily is a previously registered financial professional and started their career in finance in 2009. 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
December 5, 2011 - February 1, 2016
AFAM CAPITAL, INC.
December 5, 2011 - January 29, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
August 19, 2010 - November 30, 2011
QUASAR DISTRIBUTORS, LLC
September 22, 2009 - March 1, 2010
ENVESTNET PMC
June 2, 2009 - March 1, 2010
PORTFOLIO BROKERAGE SERVICES, INC.
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
AFAM CAPITAL, INC.
CRD#: 108517 / SEC#: 801-30528
Contact information
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.
