EMERSON EQUITY LLC of SAN MATEO, CA is an SEC-registered investment adviser (CRD 130032). Regulatory assets under management: $321.7M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Dominic Julio Baldini | MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP | — |
| Timothy Evan Sullivan | DIRECT OWNER IN OCEANIC PARTNERS, INC. | — |
| Jaclyn Deanne Strife | DIRECT OWNER IN OCEANIC PARTNERS, INC. | — |
| Kathleen Frances Morrissey | CHIEF OPERATIONS OFFICER | — |
| Sean Kristian Snyder | CHIEF STRATEGY OFFICER | — |
| BALDINI DOMINIC JULIO | MANAGING MEMBER, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNICIPAL PRINCIPAL, FINOP; MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP | — |
| SULLIVAN TIMOTHY EVAN | DIRECT OWNER IN OCEANIC PARTNERS, INC.; PRESIDENT | — |
| SNYDER SEAN KRISTIAN | CHIEF STRATEGY OFFICER | — |
| STRIFE JACLYN DEANNE | DIRECT OWNER IN OCEANIC PARTNERS, INC. | — |
| MORRISSEY KATHLEEN FRANCES | CHIEF OPERATIONS OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-03-09 | regulatory | THE FIRM FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WRITTEN PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH FINRA'S SUITABILITY RULE AS IT PERTAINED TO SHORT-TERM TRADING OF MUTUAL FUND A AND B SHARES FROM JANUARY, 2015 - JUNE, 2020. | Final | $65K |
| — | regulatory | — | — | — |