Richard Dennis Emma

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2002-11-22

NJ RA
APPROVED

Since 2002-11-22

Branch Locations

161 Washington Valley Road Suite 205, Warren, NJ 07059 • United States

210 Malapardis Road Ste 204 [Satellite], Cedar Knolls, NJ 07927 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Financial Network Llc	Florham Park	NJ	05/2009	Present

05/2009 → Present

Wells Fargo Advisors Financial Network Llc

Florham Park, NJ

Previous Registrations

2002-10-11 → 2002-12-17

Ubs Financial Services Inc.

Florham_Park, NJ

Other Businesses

INVESTMENT STRATEGIES GROUP, LLC, INV RELATED, CEDAR KNOLLS, NJ, 33% OWNERSHIP, START: 01/01/2002, 0 HRS/MONTH, 0 HRS DURING TRADING, FINET PRACTICE.; CO-TRUSTEE FOR BROTHER, INV RELATED, MORRISTOWN, NJ, START: 1/28/2020, 2 HRS/MONTH, 2 HRS DURING TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-07-09
S63	Uniform Securities Agent State Law Examination	1984-02-07

S65 Uniform Investment Adviser Law Examination

2002-07-09
S63 Uniform Securities Agent State Law Examination

1984-02-07

Other Names

Richard Michael Emma

View on SEC IAPD