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Colleen Anne Brophy-Emma
COLLEEN ANNE BROPHY, Colleen A Brophy-Emma
CRD#: 1913122
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 110 ALLEN ROAD
2ND FLOOR
BASKING RIDGE, NJ 07920
Registration History
199019952000200520102015202020252 FIRMS2020 - 2021 (1 year)2 FIRMS2022 - 2023 (1 year)2 FIRMS2024 - 2024 (<1 year)2 FIRMS2024 - Present (<1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2010 - 2018 (8 years)BUBS INTERNATIONAL INC. (CRD# 107726)2001 - 2010 (8 years)BUBS WARBURG LLC (CRD# 7654)1998 - 2001 (3 years)BCHASE MANHATTAN CAPITAL FINANC... (CRD# 20989)1995 - 1997 (1 year)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1990 - 1993 (3 years)BROOSEVELT & CROSS, INCORPORATED (CRD# 6964)1989 - 1990 (<1 year)
License(s)

State Registrations

B
New Jersey 11/14/2024

IA
New Jersey 11/14/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
110 ALLEN ROAD 2ND FLOOR, BASKING RIDGE, NJ 07920
Registered with this firm since 11/14/2024

B
LPL ENTERPRISE, LLC (CRD#:8733)
110 ALLEN ROAD 2ND FLOOR, BASKING RIDGE, NJ 07920
Registered with this firm since 11/14/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/23/2024 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Basking Ridge, NJ
B
07/19/2024 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) Basking Ridge, NJ
IA
09/15/2022 - 09/13/2023 MORGAN STANLEY (CRD#:149777) New York, NY
B
09/15/2022 - 09/13/2023 MORGAN STANLEY (CRD#:149777) New York, NY
IA
11/25/2020 - 10/20/2021 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) WAYNE, NJ
B
08/03/2020 - 10/20/2021 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) WAYNE, NJ
B
01/01/2010 - 10/12/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
B
09/17/2001 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) NEW YORK, NY
B
02/09/1998 - 09/17/2001 UBS WARBURG LLC (CRD#:7654) NEW YORK, NY
B
09/06/1995 - 01/17/1997 CHASE MANHATTAN CAPITAL FINANCE CORPORATION (CRD#:20989) NEW YORK, NY
B
05/11/1990 - 09/10/1993 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
11/22/1989 - 05/14/1990 ROOSEVELT & CROSS, INCORPORATED (CRD#:6964) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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