Richard C. Zimmerman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Charles Zimmerman was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 2, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2018 - May 6, 2019
EMERSON EQUITY LLC
April 5, 2016 - January 23, 2017
CENTAURUS FINANCIAL, INC.
August 15, 2012 - February 29, 2016
D.H. HILL SECURITIES, LLLP
June 12, 2012 - July 30, 2012
EQUINOX SECURITIES, INC.
January 2, 2009 - June 17, 2010
OMNI BROKERAGE, INC.
July 16, 2008 - January 2, 2009
OMNI BROKERAGE, INC.
November 15, 2007 - July 9, 2008
EPLANNING SECURITIES, INC.
March 8, 2005 - October 23, 2007
U.S. SELECT SECURITIES LLC
October 25, 2000 - December 2, 2004
PACIFIC CORNERSTONE CAPITAL INCORPORATED
June 14, 1999 - October 10, 2000
EQUITY SERVICES, INC.
July 21, 1992 - November 23, 1993
PRIVATE INVESTORS EQUITY GROUP
November 14, 1988 - March 21, 1991
FUNDS DISTRIBUTOR, LLC
January 1, 1988 - October 10, 1988
CENTURY PACIFIC PLACEMENT CORPORATION
March 4, 1987 - March 10, 1988
PHILIP LAYNE & CO., INC.
November 5, 1984 - December 5, 1986
PRIVATE INVESTORS EQUITY GROUP
September 25, 1984 - January 14, 1985
U.E.C. SECURITIES, INC.
August 24, 1983 - September 28, 1984
AMERICAN DIVERSIFIED EQUITY CORPORATION
February 9, 1982 - May 24, 1983
DE ANZA SECURITIES, INC.
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 6/10/1980
Non-Member General Securities ExaminationCurrent Firm
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
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.
