Emily M. Imel
Professional summary
Emily Madison Imel, who also goes by Emily Imel, is a registered financial professional currently at AW SECURITIES located in Indianapolis, Indiana.
Emily is registered as a RR (Registered Representative) and started their career in finance in 2023. Emily has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Emily Madison Imel's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 18, 2026 - Present
AW SECURITIES
Office #1: 8801 River Crossing Blvd. Suite 100, Indianapolis, IN 46240October 9, 2024 - March 13, 2026
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 14, 2023 - March 8, 2024
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/18/2026)
Exams
Series 7TO
Date: 11/13/2023
General Securities Representative ExaminationFINRA
Current Firm
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| ERICKSON, RICHARD JOHN | DIRECTOR OF INVESTMENT OPERATIONS | 2704674 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
Red Flags
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