Thomas N. Downey

EMERSON EQUITY LLC

Irvine, CA 92618

Some features on this profile are disabled

CRD#: 1386823

Professional summary

Thomas Norman Downey, who also goes by Thom Downey, Tom Downey, Tomas Norman Downey, Tomas Downey, is a registered financial professional currently at EMERSON EQUITY LLC located in Irvine, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 12 firms and has passed the Series 63, Series 22TO, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thom Downey | Tom Downey | Tomas Norman Downey | Tomas Downey

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Norman Downey'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 9, 2023 - Present

EMERSON EQUITY LLC

Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618

RIA

CRD#: 130032

Irvine, CA

Past

October 25, 2013 - December 31, 2022

WHITEHALL-PARKER SECURITIES, INC.

CRD#: 10608

SAN RAFAEL, CA

Past

October 15, 2012 - November 5, 2013

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

ESCONDITO, CA

Past

July 12, 2010 - November 8, 2010

PACIFIC POINT SECURITIES, LLC

CRD#: 150272

ANAHEIM, CA

Past

September 27, 2001 - July 9, 2010

OMNI BROKERAGE, INC.

CRD#: 16878

LAGUNA BEACH, CA

Past

October 26, 1999 - September 28, 2001

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

August 19, 1997 - August 18, 1998

AMERICAN INVESTORS COMPANY

CRD#: 38

SAN RAMON, CA

Past

February 11, 1995 - September 26, 1995

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

March 11, 1992 - January 30, 1995

EQUITY PROGRAMS CORPORATION

CRD#: 6100

SAN DIEGO, CA

Past

May 7, 1991 - July 7, 1993

PALLAS FINANCIAL CORPORATION

CRD#: 14159

Past

February 4, 1988 - November 29, 1991

ALPINE BROKER SERVICES CORP.

CRD#: 17941

ENGLEWOOD, CO

Past

July 11, 1985 - January 15, 1988

TRAWEEK SECURITIES, INC.

CRD#: 14987

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".

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)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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.

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

Arizona
(2/24/2023)

California
(2/10/2023)

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: 8/28/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 2/9/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/1991

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/11/1988

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 7/9/1985

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/10/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (33 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/27/2025)

Direct owners and executive officers

Name	Position	CRD#
BALDINI, DOMINIC JULIO	MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP	3082081
MORRISSEY, KATHLEEN FRANCES	CHIEF OPERATIONS OFFICER	1771747
SNYDER, SEAN KRISTIAN	CHIEF STRATEGY OFFICER	1860842

Regulatory assets under management

Total Number of Accounts	1,091
AUM (Assets Under Management)	$ 327,937,701

Disclosures

Regulatory Event

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas N. Downey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Norman Downey's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHITEHALL-PARKER SECURITIES, INC.

CONCORDE INVESTMENT SERVICES, LLC

PACIFIC POINT SECURITIES, LLC

OMNI BROKERAGE, INC.

BROOKSTREET SECURITIES CORPORATION

AMERICAN INVESTORS COMPANY

THE ADVISORS GROUP, INC.

EQUITY PROGRAMS CORPORATION

PALLAS FINANCIAL CORPORATION

ALPINE BROKER SERVICES CORP.

TRAWEEK SECURITIES, INC.

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/28/1985

Series 22TO

Date: 2/9/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/23/1991

Series 6

Date: 1/11/1988

Series 22

Date: 7/9/1985

Series 24

Date: 12/10/1991

FINRA

Current Firm

EMERSON EQUITY LLC

Contact information

SEC notice filing (33 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

EMERSON EQUITY LLC

TRUST BUT VERIFY

Similar Advisors