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JU

Jessica Uem

ARES MANAGEMENT CAPITAL MARKETS LLC
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 6216694
JU

Professional summary

Jessica Uem is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in New York, New York.

Jessica is registered as a RR (Registered Representative) and started their career in finance in 2015. Jessica has worked at 4 firms and has passed the Series 66, Series 31, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
Dandelion LLC, Not investment Related, Korean Cafe, Home address, 5/9/2023 start date, Co-Owner, limited managing member, administrative work. Minimal time, No hours dedicated during Trading Hours a month.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jessica Uem'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

November 6, 2024 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 245 Park Avenue - 44th Floor, New York, NY 10167
BD
CRD#: 166219
NEW YORK, NY
Past

February 8, 2018 - October 22, 2024

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

February 7, 2018 - October 22, 2024

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

March 17, 2017 - November 2, 2017

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
NEW YORK, NY
Past

November 19, 2015 - February 27, 2017

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

September 10, 2015 - February 27, 2017

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(11/6/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/19/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 6/10/2019
Futures Managed Funds Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/10/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/30/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCOO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
PAWLOWSKI, ANTHONY JOHNPRESIDENT4337887

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

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219New York, NY 10167

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