JM
Jimmy C. Manuel
EMERSON EQUITY LLC
Camarillo, CA
Some features on this profile are disabled
CRD#: 1020056
JM
Professional summary
Jimmy Carl Manuel, who also goes by Jim Manuel, is a registered financial advisor currently at EMERSON EQUITY LLC located in Camarillo, California.
Jimmy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Jimmy has worked at 13 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 31, Series 15, Series 3, Series 7, Series 30, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Manuel
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.
1) ACCIDENT & HEALTH, LIFE AND VARIABLE INSURANCE, LTC-INVESTED RELATED-AGENT 2) LOAN BROKER 1ST AND 2ND TRUST DEEDS UNDER CA DEPT OF REAL ESTATE BROKER LICENSE. USES LICENSE TO BUY REAL ESTATE FOR HIS OWN. 3) JIM C MANUEL REAL ESTATE BROKER-INVESTMENT RELATED-ADDRESS OF RECORD-1 HOUR A MONTH 4) WEALTHVEST RIA-INVESTMENT RELATED-ADDRESS OF RECORD-INVESTMENT ADVISOR REPRESENTATIVE-1 HOUR PER DAY
CRS (Client Relationship Summary) - RIA
Click below to view Jimmy Carl Manuel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jimmy Carl Manuel'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
December 3, 2021 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
Camarillo, CA
Current
August 19, 2021 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
July 24, 2020 - July 1, 2021
WEALTH WATCH ADVISORS, INC
RIA
CRD#: 172002
Camarillo, CA
Past
July 28, 2015 - December 31, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Camarillo, CA
Past
March 1, 2010 - July 28, 2015
DYNASTY CAPITAL PARTNERS, INC.
BD
CRD#: 122806
OXNARD, CA
Past
January 15, 2008 - November 20, 2008
EPLANNING SECURITIES, INC.
BD
CRD#: 46000
THOUSAND OAKS, CA
Past
June 29, 1999 - November 26, 2007
FINANCIAL WEST GROUP
BD
CRD#: 16668
OXNARD, CA
Past
August 18, 1998 - June 17, 1999
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
February 4, 1993 - July 28, 1998
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
December 14, 1992 - January 30, 1993
KENNEDY, CABOT & CO.
BD
CRD#: 2417
BEVERLY HILLS, CA
Past
April 30, 1991 - November 30, 1992
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
February 11, 1991 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
BD
CRD#: 17869
Past
June 9, 1988 - December 31, 1990
FINANCIAL WEST INVESTMENT GROUP
BD
CRD#: 17869
Past
December 16, 1987 - May 31, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
August 7, 1985 - January 6, 1988
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
March 30, 1984 - July 31, 1985
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
January 14, 1981 - July 6, 1984
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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
Arizona(4/28/2022)
IAR
California(12/3/2021)
RR
California(1/18/2022)
RR
Colorado(4/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 12/28/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/2/1984
General Securities Sales Supervisor Examination (Options Module & General Module)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.
