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 | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| LOS GATOS | CA | 2 | 888-984-7526 |
| RENO | NV | 1 | 775 800-6428 |
| AGOURA HILLS | CA | 1 | 818-438-7880 |
| ROLLING HILLS | CA | 1 | 310-707-2666 |
| LA JOLLA | CA | 1 | 858.551.8970 |
| WOODLAND HILLS | CA | 1 | 213.300.4300 |
| DELAWARE | OH | 1 | 740.417.9281 |
| APTOS | CA | 1 | 831-359-3777 |
| IRVINE | CA | 1 | 310.940.9430 |