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Monique A. Emigh

Some features on this profile are disabled
CRD#: 6780474
ME

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.

Monique Araujo Emigh, who also goes by Monique Araujo Anoai, Monique Araujo Derreira, Monique Araujo Ferreira, Monique Ferreira, Monique Araujo Guimaraes, was a registered financial professional .

Monique is a previously registered financial professional and started their career in finance in 2017. Monique had worked at 3 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Monique Araujo Anoai | Monique Araujo Derreira | Monique Araujo Ferreira | Monique Ferreira | Monique Araujo Guimaraes

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 16, 2022 - August 18, 2023

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 27, 2018 - June 24, 2021

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 25, 2017 - February 28, 2018

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
MIAMI, FL

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".
UBS FINANCIAL SERVICES INC.
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2017
General Securities Representative Examination

Current Firm

UBS FINANCIAL SERVICES INC.
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629

SEC notice filing (50 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)
FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)
RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.OWNER
CAMACHO, MICHAEL ALANPRESIDENT2907298
FRANCOMANO, LISA M.CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS2263875
MATTONE, RALPHPRINCIPAL FINANCIAL OFFICER1840894
MOZER, PETERMANAGING DIRECTOR2523858
MUNFA, LAURENCHIEF COMPLIANCE OFFICER4431011
SAKAI, KIYEGENERAL COUNSEL7451987
SOMMA, JOSEPHPRINCIPAL OPERATIONS OFFICER2219496

Regulatory assets under management

Total Number of Accounts1,134,923
AUM (Assets Under Management)$ 808,822,670,899

Disclosures

Regulatory Event475
Civil Event5
Arbitration443

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/26/2025
Cover Page
Report
05/15/2024
Cover Page
Report
12/19/2023
Cover Page
Report

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

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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