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EA

Emily M. Aparicio

TRANSPACIFIC GROUP LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 6663969
EA

Professional summary

Emily Margaret Aparicio is a registered financial professional currently at TRANSPACIFIC GROUP LLC located in Miami, Florida.

Emily is registered as a RR (Registered Representative) and started their career in finance in 2021. Emily has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Emily Margaret Aparicio'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

August 13, 2021 - Present

TRANSPACIFIC GROUP LLC

Office #1: 150 Se 2nd Avenue Suite 1401, Miami, FL 33131
BD
CRD#: 143869
Miami, FL

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
(10/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/13/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/18/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TG
TRANSPACIFIC GROUP LLC
TRANSPACIFIC GROUP LLC | TRANSPACIFIC SECURITIES LLC

CRD#: 143869 / SEC#: , 8-67611

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

Main Address
150 Se 2nd Avenue Suite 1401, Miami, FL 33131
Mailing Address
150 Se 2nd Avenue Suite 1401, Miami, FL 33131
Phone number
(212) 987-3000
Established
Delaware since 01/30/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MASON, MARK EVANMEMBER, OWNER, PRESIDENT4847417
CHIN, PHYLLIS NYUK FAHFINOP, PFO, CFO6250921
DOHERTY, JAMES HUGHPOO4197747
RUFF, GERGANA LACHEZAROVACHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER6136242

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

TRANSPACIFIC GROUP LLC

CRD#: 143869Miami, FL 33131

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