Emerson V. Unger
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.
Emerson Voth Unger was a registered financial professional .
Emerson is a previously registered financial professional and started their career in finance in 1978. Emerson had worked at 2 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2012 - May 30, 2014
BFC PLANNING, INC.
February 27, 2008 - December 31, 2011
SECURITIES MANAGEMENT & RESEARCH, INC.
August 24, 1978 - May 30, 2014
SECURITIES MANAGEMENT & RESEARCH, INC.
Primary Firm SEC Registration
BFC PLANNING, INC.
CRD#: 119682 / SEC#: 801-67427
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
Series 1
Date: 8/15/1978
Registered Representative ExaminationCurrent Firm
BFC PLANNING, INC.
CRD#: 119682 / SEC#: 801-67427
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,756 |
| AUM (Assets Under Management) | $ 2,026,848,859 |
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.
