Kevin F. Hughes

EMERSON EQUITY LLC

San Diego, CA

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CRD#: 1073729

Professional summary

Kevin Francis Hughes JR, CFP®, who also goes by Kevin Francis (jr) Hughes, is a registered financial advisor currently at EMERSON EQUITY LLC located in San Diego, California.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Kevin has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 12, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Francis (jr) Hughes

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.

52 WEST FINANCIAL INC; PO BOX 228 LA JOLLA, CA 92038 POSITION: sole shareholder, President; NATURE: Currently Inactive pass-through entity created for the purposes of running business; INVESTMENT RELATED: No; NUMBER OF HOURS DEVOTED: None; START DATE: 02/08/2019; ADDRESS: La Jolla, CA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Francis Hughes JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kevin Francis Hughes JR's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

August 31, 2020 - Present

EMERSON EQUITY LLC

RIA

CRD#: 130032

San Diego, CA

Current

August 31, 2020 - Present

EMERSON EQUITY LLC

Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618

RIA

CRD#: 130032

Irvine, CA

Past

February 18, 2020 - September 1, 2020

STAX CAPITAL

CRD#: 300607

SAN DIEGO, CA

Past

May 24, 2018 - March 21, 2019

WESTPARK CAPITAL, INC.

RIA

CRD#: 39914

Newport Beach, CA

Past

May 24, 2018 - February 18, 2020

WESTPARK CAPITAL, INC.

CRD#: 39914

Newport Beach, CA

Past

September 28, 2017 - May 21, 2018

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SAN DIEGO, CA

Past

September 28, 2017 - May 21, 2018

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

March 27, 2017 - September 29, 2017

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

SAN DIEGO, CA

Past

August 22, 2016 - June 12, 2017

PROBABILITIES FUND MANAGEMENT, LLC

RIA

CRD#: 144313

San Diego, CA

Past

April 17, 2015 - August 3, 2016

CIM SECURITIES, LLC

CRD#: 120852

PALMER, AK

Past

January 11, 2010 - April 21, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LA JOLLA, CA

Past

January 11, 2010 - April 21, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LA JOLLA, CA

Past

December 8, 2003 - January 20, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN DIEGO, CA

Past

December 8, 2003 - January 20, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN DIEGO, CA

Past

November 23, 1999 - November 25, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LA JOLLA, CA

Past

October 15, 1999 - November 25, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 21, 1993 - October 6, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 11, 1990 - September 7, 1993

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

February 9, 1984 - July 6, 1984

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

October 29, 1982 - July 13, 1990

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

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".

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)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(10/6/2021)

California
(8/31/2020)

IAR

California
(8/31/2020)

Georgia
(4/6/2023)

Idaho
(12/14/2021)

Nevada
(1/3/2022)

Texas
(4/26/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/27/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/23/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/29/1991

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 12

Date: 3/20/1984

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/1984

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/6/1983

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/27/2025)

Direct owners and executive officers

Name	Position	CRD#
BALDINI, DOMINIC JULIO	MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP	3082081
MORRISSEY, KATHLEEN FRANCES	CHIEF OPERATIONS OFFICER	1771747
SNYDER, SEAN KRISTIAN	CHIEF STRATEGY OFFICER	1860842

Regulatory assets under management

Total Number of Accounts	1,091
AUM (Assets Under Management)	$ 327,937,701

Disclosures

Regulatory Event

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.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin F. Hughes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Francis Hughes JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kevin Francis Hughes JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

STAX CAPITAL

WESTPARK CAPITAL, INC.

WESTPARK CAPITAL, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

AUSDAL FINANCIAL PARTNERS, INC.

PROBABILITIES FUND MANAGEMENT, LLC

CIM SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

A. G. EDWARDS & SONS, INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/1994

Series 63

Date: 12/22/1982

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/23/1983

Series 7

Date: 10/16/1982

Series 53

Date: 8/29/1991

Series 12

Date: 3/20/1984

Series 24

Date: 2/22/1984

Series 4

Date: 12/6/1983

FINRA

Current Firm

EMERSON EQUITY LLC

Contact information

SEC notice filing (32 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

EMERSON EQUITY LLC

TRUST BUT VERIFY

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