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EZ

Emily E. Zimmerman

SPECTRUM INVESTMENT ADVISORS
Mequon, WI 53092
Some features on this profile are disabled
CRD#: 5845698
EZ

Professional summary

Emily E Zimmerman, who also goes by Emily Ellen Zimmerman, Emily Zimmerman, is a registered financial advisor currently at SPECTRUM INVESTMENT ADVISORS, INC. located in Mequon, Wisconsin.

Emily is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Emily has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Emily Ellen Zimmerman | Emily Zimmerman

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily E Zimmerman's CRS (Customer Relationship Summary).
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

January 27, 2022 - Present

SPECTRUM INVESTMENT ADVISORS, INC.

Office #1: 6329 West Mequon Road, Mequon, WI 53092
RIA
CRD#: 108669
Mequon, WI
Past

July 3, 2018 - January 7, 2022

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Oak Creek, WI
Past

July 3, 2018 - January 7, 2022

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

August 9, 2016 - June 28, 2018

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WAUKESHA, WI
Past

August 9, 2016 - June 28, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WAUKESHA, WI
Past

November 6, 2015 - August 15, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
Waukesha, WI
Past

November 6, 2015 - August 15, 2016

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Waukesha, WI
Past

September 26, 2011 - November 10, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WAUKESHA, WI
Past

March 31, 2011 - November 10, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WAUKESHA, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SI
SPECTRUM INVESTMENT ADVISORS, INC.
CHRISTIANSEN INVESTMENTS INC | SPECTRUM INVESTMENT ADVISORS, INC.

CRD#: 108669 / SEC#: 801-56966

RIA
Registered Investment Advisory firm - (11/9/1999 Approved)

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
Wisconsin
(1/27/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/24/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/29/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/2011
General Securities Representative Examination

Current Firm

SI
SPECTRUM INVESTMENT ADVISORS, INC.
CHRISTIANSEN INVESTMENTS INC | SPECTRUM INVESTMENT ADVISORS, INC.

CRD#: 108669 / SEC#: 801-56966

RIA
Registered Investment Advisory firm - (11/9/1999 Approved)
PREMIUM
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Contact information

Main Address
6329 West Mequon Road, Mequon, WI 53092
Mailing Address
Phone number
(262) 238-4010
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SIA FORM ADV PART 2A BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts1,026
AUM (Assets Under Management)$ 849,662,094

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

SPECTRUM INVESTMENT ADVISORS, INC.

CRD#: 108669Mequon, WI 53092

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