DW
David C. Waal
EMERSON EQUITY LLC
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 1226437
DW
Professional summary
David Christian Waal is a registered financial professional currently at EMERSON EQUITY LLC located in Irvine, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1984. David has worked at 6 firms and has passed the Series 63, Series 82TO, Series 22TO, SIE, Series 7 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Christian Waal'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
June 30, 2021 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Past
May 8, 2020 - October 12, 2020
ORCHARD SECURITIES, LLC
BD
CRD#: 133378
PLEASANT GROVE, UT
Past
April 13, 2005 - April 29, 2011
OMNI BROKERAGE, INC.
BD
CRD#: 16878
WALNUT CREEK, CA
Past
May 7, 2003 - April 27, 2005
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
November 7, 1985 - February 12, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
July 26, 1984 - December 26, 1985
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
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
Alabama(8/3/2021)
RR
Arizona(11/29/2021)
RR
California(7/1/2021)
RR
Colorado(4/26/2022)
RR
Connecticut(2/23/2022)
RR
District of Columbia(11/4/2022)
RR
Florida(6/21/2022)
RR
Georgia(9/7/2021)
RR
Illinois(2/15/2022)
RR
Kansas(5/22/2024)
RR
Maryland(11/4/2021)
RR
Minnesota(11/29/2022)
RR
Missouri(6/13/2024)
RR
Nevada(1/30/2024)
RR
New Jersey(2/24/2022)
RR
New York(3/28/2022)
RR
North Carolina(3/8/2022)
RR
Oregon(7/27/2021)
RR
Texas(6/15/2023)
RR
Virginia(3/29/2023)
RR
Washington(9/12/2024)
RR
Wisconsin(11/29/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 12/11/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 22TO
Date: 5/8/2020
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
