Emily Capley is a registered investment advisor, based in Charlotte, NC, with 5 years of industry experience.
Location
Charlotte, NC
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Current Registrations
Raymond James Financial Services, INC.
August 2025 - Present · 9 mos
Raymond James Financial Services Advisors, INC
August 2025 - Present · 9 mos
Raymond James Financial Services, INC.Broker
August 2025 - Present · 9 mos
Previous Registrations
UBS Financial Services INC.
June 2020 - July 2025 · 5 yrs 1 mo
UBS Financial Services INC.Broker
June 2020 - July 2025 · 5 yrs 1 mo
UBS Financial Services INC.Broker
October 2019 - December 2019 · 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.