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FIRM PROFILE
Overview
EM SECURITIES LLC is located at C/o Caa Evolution 405 Lexington Avenue, 19th Floor, New York, NY 10174 and was first established at New York, Delaware in 07/29/2008. After operating for 17 years, EM SECURITIES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of EM SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. EM SECURITIES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at EM SECURITIES LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access EM SECURITIES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at EM SECURITIES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for EM SECURITIES LLC Comes From
Understanding the Statistics for EM SECURITIES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
C/o Caa Evolution 405 Lexington Avenue 19th Floor, New York, NY, 10174
C/o Caa Evolution 405 Lexington Avenue 19th Floor, New York, NY, 10174
Small
(212) 277-5261
Delaware since 07/29/2008
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
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Advisor's working at EM SECURITIES LLC
Carmen Elizabeth Carpenter
Tucker Pennock Brown
Thomas Sean Donohue
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