Emily Waggoner, financial advisor Tulsa OK
81 score

Emily Waggoner

CRD Number: 5610230
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Emily Waggoner (CRD# 5610230) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Tulsa, OK and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tulsa, OK Apr 2014 - Current 2
Homemaker Tulsa, OK Oct 2013 - Apr 2014 < 1
J.p. Morgan Securities LLC Tulsa, OK Oct 2012 - Oct 2013 1
Chase Investment Services Corp Tulsa, OK Apr 2012 - Oct 2013 1
Graham-rogers, Inc. Bartlesville, OK Apr 2011 - Apr 2012 1
Stonebridge Construction Bartlesville, OK Jun 2007 - Nov 2011 4
Unemployed Bartlesville, OK Dec 2010 - Apr 2011 < 1
Homemaker Bartlesville, OK Dec 2010 - Apr 2011 < 1
Adams Bank And Trust Colorado Springs, CO Aug 2010 - Dec 2010 < 1
Homemaker Bartlesville, OK May 2010 - Sep 2010 < 1
Unemployed Bartlesville, OK May 2010 - Aug 2010 < 1
Arvest Asset Management Bartlesville, OK Jul 2008 - May 2010 1
Arvest Bank Bartlesville, OK Jun 2006 - May 2010 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Feb 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Emily Waggoner
Phone Number: 800-637-7455
Registered State(s):
  • OK
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from Emily Waggoner and other advisors.
BADGES
81

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