JW
James M. Whitson
EMERSON EQUITY LLC
Santa Barbara, CA 93105
Some features on this profile are disabled
CRD#: 1353438
JW
Professional summary
James Michael Whitson, who also goes by Jim Whitson, is a registered financial advisor currently at EMERSON EQUITY LLC located in Santa Barbara, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Whitson
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. JAMES MICHAEL WHITSON REAL ESTATE/SANTA BARBARA, CA 93105/PRESIDENT/SINCE 1986/ INVESTMENT RELATED/REAL ESTATE SALES/HOURS PER MONTH VARIES 20 hours per month. ASSIST/SANTA BARBARA, CA 93105
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Whitson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Michael Whitson'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
October 3, 2019 - Present
EMERSON EQUITY LLC
Office #1: 55 Hitchcock Way Suite 212, Santa Barbara, CA 93105RIA
BD
CRD#: 130032
Santa Barbara, CA
Current
October 3, 2019 - Present
EMERSON EQUITY LLC
Office #1: 55 Hitchcock Way Suite 212, Santa Barbara, CA 93105RIA
BD
CRD#: 130032
Santa Barbara, CA
Past
February 9, 2015 - October 14, 2019
OAK TREE SECURITIES, INC.
BD
CRD#: 18126
santa barbara, CA
Past
October 31, 2011 - June 27, 2012
HERITAGE ADVISORY SERVICES, INC.
RIA
CRD#: 119241
SANTA BARBARA, CA
Past
September 16, 2011 - December 31, 2014
HERITAGE FINANCIAL SYSTEMS, LLC
BD
CRD#: 133019
MALVERN, PA
Past
August 23, 2010 - August 29, 2011
NELSONREID, INC.
BD
CRD#: 45503
SANTA BARBARA, CA
Past
February 4, 2010 - August 12, 2010
UNITED EQUITY SECURITIES, LLC
BD
CRD#: 47261
GREELEY, CO
Past
August 6, 2008 - January 14, 2010
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
SANTA BARBARA, CA
Past
June 25, 2007 - August 6, 2008
CAPWEST SECURITIES, INC.
BD
CRD#: 30002
SANTA BARBARA, CA
Past
June 22, 2007 - July 16, 2007
WEDBUSH SECURITIES INC.
BD
CRD#: 877
PASADENA, CA
Past
October 30, 1998 - June 25, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SANTA BARBARA, CA
Past
May 19, 1992 - October 30, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 22, 1991 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
November 28, 1986 - September 26, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
April 15, 1986 - October 22, 1987
NORTH AMERICA SECURITIES CORPORATION
BD
CRD#: 10548
Past
October 8, 1985 - April 19, 1986
O. R. SECURITIES, INC.
BD
CRD#: 10216
Past
June 19, 1985 - October 8, 1985
WZW FINANCIAL SERVICES, INC.
BD
CRD#: 5717
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
California(10/3/2019)
IAR
California(10/3/2019)
RR
Florida(2/22/2022)
RR
Hawaii(1/2/2025)
RR
Tennessee(2/20/2024)
Exams
State Security Law Exam
State Security Law 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.
Company Information
EMERSON EQUITY LLC
CRD#: 130032Santa Barbara, CA 93105TRUST BUT VERIFY
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