RD
Rebecca Dawson
EMERSON EQUITY LLC
SAN MATEO, CA 94402
Some features on this profile are disabled
CRD#: 1146385
RD
Professional summary
Rebecca Dawson, who also goes by Rebecca Jo Dawson, is a registered financial professional currently at EMERSON EQUITY LLC located in San Mateo, California.
Rebecca is registered as a RR (Registered Representative) and started their career in finance in 1983. Rebecca has worked at 15 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 22 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rebecca Jo Dawson
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) - BD
Click below to view Rebecca Dawson'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
May 28, 2019 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
December 18, 2018 - May 30, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
REDONDO BEACH, CA
Past
March 27, 2013 - March 14, 2019
SILBER BENNETT FINANCIAL, INC.
BD
CRD#: 156435
ENCINO, CA
Past
April 26, 2010 - April 19, 2013
GREAT CIRCLE FINANCIAL
BD
CRD#: 8658
RENO, NV
Past
August 31, 2007 - April 27, 2010
EMPIRE SECURITIES CORPORATION
BD
CRD#: 2826
EL SEGUNDO, CA
Past
April 25, 2003 - August 30, 2007
FIRST WALL STREET CORP.
BD
CRD#: 13024
THOUSAND OAKS, CA
Past
January 13, 2000 - April 30, 2003
INSIGHT SECURITIES, INC.
BD
CRD#: 5611
HIGHLAND PARK, IL
Past
January 16, 1998 - August 19, 1999
BARRON CHASE SECURITIES, INC.
BD
CRD#: 18969
BOCA RATON, FL
Past
June 5, 1995 - December 16, 1997
AUERBACH, POLLAK & RICHARDSON INC.
BD
CRD#: 29824
STAMFORD, CT
Past
May 5, 1994 - May 4, 1995
DRAKE & COMPANY, INC.
BD
CRD#: 16227
NEW YORK, NY
Past
July 20, 1993 - July 12, 1994
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
August 28, 1992 - June 25, 1993
LIBERTY CAPITAL MARKETS, INC.
BD
CRD#: 16534
Past
June 7, 1991 - May 26, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 4, 1988 - February 12, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 11, 1985 - May 13, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
November 4, 1983 - December 9, 1985
WINTHROP SECURITIES CO., INC.
BD
CRD#: 6925
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.
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(5/28/2019)
RR
Arkansas(5/28/2019)
RR
California(5/28/2019)
RR
Florida(5/28/2019)
RR
Pennsylvania(1/10/2023)
RR
Tennessee(5/28/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
