DW
Denise L. Warren
EMERSON EQUITY LLC
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 1406215
DW
Professional summary
Denise Lynn Warren, who also goes by Denise Lynn Stone, Denise Warren Mrs, Denise Lynn Wilcoxen, is a registered financial professional currently at EMERSON EQUITY LLC located in Irvine, California.
Denise is registered as a RR (Registered Representative) and started their career in finance in 2003. Denise has worked at 10 firms and has passed the Series 63, SIE and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Denise Lynn Stone | Denise Warren Mrs | Denise Lynn Wilcoxen
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 Denise Lynn Warren'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
April 12, 2024 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Past
January 6, 2015 - November 16, 2022
RANCE KING SECURITIES CORP.
BD
CRD#: 15737
LONG BEACH, CA
Past
August 23, 2012 - December 31, 2013
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
SCHAUMBURG, IL
Past
June 28, 2011 - January 3, 2012
FINANCIAL WEST GROUP
BD
CRD#: 16668
SANTA MONICA, CA
Past
June 8, 2010 - November 8, 2010
PACIFIC POINT SECURITIES, LLC
BD
CRD#: 150272
ANAHEIM, CA
Past
June 8, 2009 - August 31, 2009
SELECT CAPITAL CORPORATION
BD
CRD#: 145997
PHOENIX, AZ
Past
January 2, 2009 - June 1, 2009
ORCHARD SECURITIES, LLC
BD
CRD#: 133378
PLEASANT GROVE, UT
Past
September 11, 2007 - January 2, 2009
OMNI BROKERAGE, INC.
BD
CRD#: 16878
LAGUNA BEACH, CA
Past
April 26, 2006 - August 27, 2007
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
CALABASAS, CA
Past
April 7, 2005 - October 24, 2005
EMPIRE SECURITIES CORPORATION
BD
CRD#: 2826
EL SEGUNDO, CA
Past
May 5, 2003 - March 23, 2005
OMNI BROKERAGE, INC.
BD
CRD#: 16878
SOUTH JORDAN, UT
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
California(4/12/2024)
Exams
State Security Law 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.
