SO
Scott M. Ozer
EMERSON EQUITY LLC
Woodland Hills, CA 91364
Some features on this profile are disabled
CRD#: 1009252
SO
Professional summary
Scott Michael Ozer, who also goes by Sunkin Ozer, Scott Michael Sunkin, is a registered financial advisor currently at EMERSON EQUITY LLC located in Woodland Hills, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Scott has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sunkin Ozer | Scott Michael Sunkin
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Michael Ozer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Michael Ozer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 10, 2019 - Present
EMERSON EQUITY LLC
Office #1: 22713 Ventura Blvd, Woodland Hills, CA 91364RIA
BD
CRD#: 130032
Woodland Hills, CA
Current
August 30, 2019 - Present
EMERSON EQUITY LLC
Office #1: 22713 Ventura Blvd, Woodland Hills, CA 91364RIA
BD
CRD#: 130032
Woodland Hills, CA
Past
June 18, 2014 - September 4, 2019
COLONY PARK FINANCIAL SERVICES LLC.
RIA
CRD#: 41534
AGOURA HILLS, CA
Past
November 7, 2013 - June 16, 2014
SANDLAPPER WEALTH MANAGEMENT, LLC
RIA
CRD#: 164443
GREENVILLE, SC
Past
November 6, 2013 - August 30, 2019
SANDLAPPER SECURITIES, LLC
BD
CRD#: 137906
AGOURA HILLS, CA
Past
September 2, 2005 - November 6, 2013
FINANCIAL WEST GROUP
RIA
CRD#: 16668
AGOURA HILLS, CA
Past
September 2, 2005 - November 6, 2013
FINANCIAL WEST GROUP
BD
CRD#: 16668
AGOURA HILLS, CA
Past
July 8, 1997 - September 22, 2005
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WOODLAND HILLS, CA
Past
July 31, 1993 - September 22, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 25, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 17, 1981 - November 30, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EE
EMERSON EQUITY LLC
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
RIA
Registered Investment Advisory firm - SEC (4/16/2021 Approved)California
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/19/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)New York
Registered Investment Advisory firm - SEC (9/21/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/12/2023 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/16/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/30/2019)
IAR
California(9/11/2019)
RR
Idaho(10/11/2019)
RR
Texas(8/30/2019)
IAR
Texas(9/10/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 11/9/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EE
EMERSON EQUITY LLC
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
RIA
Registered Investment Advisory firm - SEC (4/16/2021 Approved)California
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/19/2023 Terminated)Nevada
Registered Investment Advisory firm - SEC (5/11/2023 Terminated)New York
Registered Investment Advisory firm - SEC (9/21/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/12/2023 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Texas
Registered Investment Advisory firm - SEC (4/11/2023 Terminated)Virginia
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/16/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
155 Bovet Road, Suite 725, San Mateo, CA 94402
Mailing Address
155 Bovet Road, Suite 725, San Mateo, CA 94402
Phone number
(650) 312-0200
Established
California since 10/10/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
222
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
