FJ
Forrest James
EMERSON EQUITY LLC
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 1263114
FJ
Professional summary
Forrest James, who also goes by Forrest James Wojdan, Forrest Wojdan, is a registered financial advisor currently at EMERSON EQUITY LLC located in Irvine, California.
Forrest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Forrest has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Forrest James Wojdan | Forrest Wojdan
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) BLUE SHIELD HEALTH INSURANCE; IS OTHER BUSINESS INVESTMENT RELATED: YES; ADDRESS OF OTHER BUSINESS: 61 SANTA BARBARA DRIVE, ALISO VIEJO, CALIFORNIA 92656; NATURE OF OTHER BUSINESS: AGENT FOR BLUE SHIELD; START DATE: 02/07; APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO OTHER BUSINESS: ZERO; NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: ZERO; DUTIES RELATED TO OTHER BUSINESS: SELLING INSURANCE (NOT SEEKING BUSINESS AT THIS TIME). 2) DANA NORTH LLC-INVESTMENT RELATED, 34192-34196 PACIFIC COAST HWY, DANA POINT, CA 92629, DEVELOPING A CONDO PROJECT, MEMBER OF LLC, INVESTORS IN A CONDO DEVELOPMENT PROJECT., 5-10 HRS PER MONTH, 5-10HRS PER MONTH DURING SECURITIES TRADING HOURS, 10/2025 NAME OF OTHER BUSINESS: LIFE INSURANCE; IS OTHER BUSINESS INVESTMENT RELATED: YES; ADDRESS OF OTHER BUSINESS: 61 SANTA BARBARA DRIVE, ALISO VIEJO, CALIFORNIA 92656; NATURE OF OTHER BUSINESS: POTENTIALLY SELLING LIFE INSURANCE AND/OR FIXED ANNUITIES; START DATE: 05/2003; APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO OTHER BUSINESS: 10 HOURS; NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 10 HOURS; DUTIES RELATED TO OTHER BUSINESS: SELLING LIFE INSURANCE AND FIXED ANNUITIES. NAME OF OTHER BUSINESS: REAL ESTATE LICENSE; IS OTHER BUSINESS INVESTMENT RELATED: YES; ADDRESS OF OTHER BUSINESS: 61 SANTA BARBARA DRIVE, ALISO VIEJO, CALIFORNIA 92656; NATURE OF OTHER BUSINESS: POTENTIALLY SELLING REAL ESTATE AS AN AGENT; START DATE: 12/2009; APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO OTHER BUSINESS: 2 HOURS; NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 2 HOURS; DUTIES RELATED TO OTHER BUSINESS: ACTING AS A REAL ESTATE AGENT BETWEEN BUYER AND SELLER. NAME OF OTHER BUSINESS: IRVINE ADVISORS, LLC; IS OTHER BUSINESS INVESTMENT RELATED: YES; ADDRESS OF OTHER BUSINESS: 9940 RESEARCH DRIVE, IRVINE CA 92618; NATURE OF OTHER BUSINESS: ENTITY THROUGH WHICH AFFILIATE'S SECURITIES RELATED BUSINESS IS MARKETED; POSITION/TITLE: LLC MEMBER; START DATE: 01/2015; APPROXIMATE NUMBER OF HOURS DEVOTED TO OTHER BUSINESS PER MONTH: 160 HOURS; NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 7.50; ENTITY USED FOR BRANDING/MARKETING PURPOSES ONLY, NO SPECIFIC DAY TO DAY ACTIVITY IN REGARDS TO THE LLC ITSELF.
CRS (Client Relationship Summary) - RIA
Click below to view Forrest James's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Forrest James'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
November 15, 2013 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Current
November 15, 2013 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Past
October 15, 2013 - November 5, 2013
CABIN SECURITIES, INC.
BD
CRD#: 137608
OVERLAND PARK, KS
Past
April 24, 2001 - December 11, 2013
MAPLETON CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122230
ALISO VIEJO, CA
Past
April 23, 2001 - December 11, 2013
OCEAN PARK CAPITAL MANAGEMENT, LLC
RIA
CRD#: 134517
ALISO VIEJO, CA
Past
March 1, 2001 - December 31, 2004
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
May 22, 1995 - November 12, 1999
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
December 17, 1985 - May 18, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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".
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(12/2/2013)
RR
California(11/15/2013)
IAR
California(11/15/2013)
RR
Colorado(4/2/2014)
RR
Connecticut(12/6/2013)
RR
Florida(11/22/2013)
RR
Georgia(1/24/2014)
RR
Illinois(11/22/2013)
RR
Indiana(12/13/2013)
RR
Louisiana(4/14/2014)
RR
Maryland(8/26/2014)
RR
Massachusetts(8/26/2014)
RR
Michigan(4/9/2014)
RR
Nebraska(4/30/2014)
RR
Nevada(4/22/2019)
RR
New Jersey(4/14/2014)
RR
New York(4/9/2014)
RR
North Carolina(12/3/2013)
RR
Ohio(12/2/2013)
RR
Pennsylvania(4/15/2014)
RR
South Carolina(12/24/2014)
RR
Texas(11/22/2013)
RR
Utah(12/6/2013)
RR
Virginia(8/13/2014)
RR
Washington(4/10/2014)
RR
Wisconsin(2/7/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
