Michelle Emmons has been an investment adviser representative at Smith, Brian David since March 2011, and is not listed among the firm’s executive officers or direct owners. Michelle Emmons holds a Degree in Finance and Business Administration from Indiana Wesleyan University.
Smith, Brian David is a Greenville, SC firm with $133M under management, 304 clients and 2 advisers in one office, as of its June 2026 filing.
Michelle Emmons is Vice-President, Financial Advisor of Southeast Financial Advisors, LLC. She joined the firm in the fall of 2005 after working in the financial industry at a local bank and a large brokerage firm. She is involved in compliance and supervision of new accounts and the ongoing monitoring of clients' accounts, and is in charge of research, trading and allocation of accounts.
- Southeast Financial AdvisorsCurrent– present · 15 yearsGreenville, SC · Adviser representative · Firm CRD 121757
Investment adviser representative registrations
Michelle Emmons is registered as an investment adviser representative in South Carolina, since March 2011.
- South CarolinaSince 1 March 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 25 February 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 December 2009 |
| Series 51 | Municipal Fund Securities Principal Examination | 14 August 2009 |
| Series 24 | General Securities Principal Examination | 15 June 2009 |
| Series 7 | General Securities Representative Examination | 3 March 2008 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Michelle Renee Emmons
- CRD
- 5492430
- Firm
- Smith, Brian David · CRD 121757
- Office
- C/O 107 MANLY STREET, Greenville, SC 29601
- Registration
- Investment adviser registration
- In the industry since
- March 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- southeastfinancialadvisors.com
Where does Michelle Emmons work?
Michelle Emmons is an investment adviser representative registered through Smith, Brian David since March 2011, and is not listed among the firm’s executive officers or direct owners.
Is Michelle Emmons a financial advisor?
Yes. Michelle Emmons has a current investment-adviser registration in South Carolina, through Smith, Brian David since March 2011.
How many years of experience does Michelle Emmons have?
Michelle Emmons has 18 years in the financial industry, since March 2008, across 1 adviser firm.
What exams has Michelle Emmons passed?
Michelle Emmons has passed 7 licensing exams: the Series 7, Series 24, Series 51, Series 63, Series 65, Series 14 and Series 99TO. The earliest, the Series 7, was passed in March 2008. FINRA credited Michelle Emmons with the SIE, which began in October 2018.
Where is Michelle Emmons based?
Michelle Emmons’ registered office is in Greenville, SC.
Is Michelle Emmons registered with FINRA?
No. Michelle Emmons has no current broker registration.
How can I verify Michelle Emmons’ record?
Search CRD 5492430 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michelle Emmons’ full registration record.
