Emily D. Zumo
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 Dowden Zumo, who also goes by Emily Elizabeth Dowden, was a registered financial professional .
Emily is a previously registered financial professional and started their career in finance in 2017. Emily had worked at 4 firms and has passed the Series 65, 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
July 16, 2020 - August 14, 2023
LEVEL FOUR FINANCIAL, LLC
September 27, 2019 - August 17, 2023
ABEL HALL, LLC
June 7, 2019 - July 16, 2020
MUTUAL SECURITIES, INC.
May 26, 2017 - June 10, 2019
RAYMOND JAMES FINANCIAL 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
LEVEL FOUR FINANCIAL, LLC
CRD#: 25700 / SEC#: 801-65811, 8-41965
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
