Theron K. Picketts

EMERGE CAPITAL MANAGEMENT

Chicago, IL

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CRD#: 1202917

Professional summary

Theron Keith Picketts is a registered financial advisor currently at EMERGE CAPITAL MANAGEMENT located in Chicago, Illinois.

Theron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Theron has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. EMERGE CAPITAL MANAGEMENT INC, INVESTMENT RELATED, 500 PEARL STREET SUITE 740 BUFFALO NY 14202, REGISTERED INVESMENT ADVISOR, DIRECTOR MID-WEST REGION, 06/2022, 80 HRS/MON, 65 HRS/MON DURING TRADING. 2. ALPS DISTRIBUTORS, INC, INVESTMENT RELATED, 1290 BROADWAY SUITE 1000 DENVER CO 80203, BROKER/DEALER, REGISTERED REPRESENTATIVE, 09/2022, 80 HRS/MON, 65 HRS/MON DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theron Keith Picketts'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®

None

Experience

Current

February 22, 2022 - Present

EMERGE CAPITAL MANAGEMENT

RIA

CRD#: 284581

Chicago, IL

Past

January 31, 2024 - February 26, 2024

MELVIN SECURITIES, L.L.C.

CRD#: 29767

CHICAGO, IL

Past

October 7, 2022 - July 14, 2023

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

February 28, 2018 - September 2, 2021

BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026

HOLMDEL, NJ

Past

March 5, 2014 - June 3, 2016

TOPEKA CAPITAL MARKETS INC.

CRD#: 154133

CHICAGO, IL

Past

September 6, 2007 - March 21, 2014

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

CHICAGO, IL

Past

December 5, 2002 - July 6, 2007

MELVIN SECURITIES, L.L.C.

CRD#: 29767

CHICAGO, IL

Past

February 18, 1989 - November 9, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 10, 1986 - April 5, 1988

PERSHING LLC

CRD#: 7560

Past

December 17, 1985 - July 9, 1986

H. A. BRANDT & ASSOCIATES, INC

CRD#: 6575

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".

EMERGE CAPITAL MANAGEMENT

EMERGE CAPITAL MANAGEMENT | EMERGE CAPITAL MANAGEMENT INC.

CRD#: 284581 / SEC#: 801-113648

RIA

Registered Investment Advisory firm - (7/20/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/20/2018 Terminated)

New York

Registered Investment Advisory firm - (7/27/2018 Terminated)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(2/22/2022)

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.

Exams

State Security Law Exam

Series 63

Date: 5/24/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/15/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

Current Firm

EMERGE CAPITAL MANAGEMENT

EMERGE CAPITAL MANAGEMENT | EMERGE CAPITAL MANAGEMENT INC.

CRD#: 284581 / SEC#: 801-113648

RIA

Registered Investment Advisory firm - (7/20/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/20/2018 Terminated)

New York

Registered Investment Advisory firm - (7/27/2018 Terminated)

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Contact information

Main Address

500 Pearl Street Suite 740, Buffalo, NY 14202

Mailing Address

Phone number

(904) 870-1092

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMERGE CAPITAL MANAGEMENT PART 2 BROCHURE (6/17/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 30,000,483

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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Theron K. Picketts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theron Keith Picketts's CRS (Customer Relationship Summary).

Certified licenses

Experience

MELVIN SECURITIES, L.L.C.

ALPS DISTRIBUTORS, INC.

BROAD STREET CAPITAL MARKETS, LLC

TOPEKA CAPITAL MARKETS INC.

CABRERA CAPITAL MARKETS, LLC

MELVIN SECURITIES, L.L.C.

J.P. MORGAN SECURITIES LLC

PERSHING LLC

H. A. BRANDT & ASSOCIATES, INC

Primary Firm SEC Registration

EMERGE CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/1991

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/15/2007

Series 7

Date: 12/14/1985

Current Firm

EMERGE CAPITAL MANAGEMENT

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMERGE CAPITAL MANAGEMENT

TRUST BUT VERIFY

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