Robert S. Smith

EMERSON EQUITY LLC

Newberg, OR 97132

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CRD#: 1412333

Professional summary

Robert Scott Smith is a registered financial professional currently at EMERSON EQUITY LLC located in Newberg, Oregon.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1985. Robert has worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Scott Smith'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

April 3, 2020 - Present

EMERSON EQUITY LLC

Office #1: 22210 Ne Sunnycrest Road, Newberg, OR 97132

RIA

CRD#: 130032

Newberg, OR

Past

May 6, 2011 - April 6, 2020

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Newberg, OR

Past

June 29, 2007 - May 18, 2011

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

BEAVERTON, OR

Past

March 5, 1996 - July 3, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

BEAVERTON, OR

Past

May 8, 1995 - March 8, 1996

TOLUCA PACIFIC SECURITIES CORP.

CRD#: 13875

BURBANK, CA

Past

December 7, 1993 - October 26, 1994

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

July 10, 1990 - April 16, 1993

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 25, 1985 - July 12, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

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
(4/29/2020)

California
(5/8/2020)

Colorado
(2/4/2021)

Florida
(11/24/2020)

Georgia
(11/5/2021)

Kansas
(4/3/2020)

Louisiana
(9/9/2020)

Maryland
(12/4/2020)

Michigan
(4/3/2020)

Minnesota
(4/13/2021)

Nebraska
(4/3/2020)

Nevada
(4/3/2020)

New Jersey
(12/4/2020)

New Mexico
(4/3/2020)

New York
(10/3/2020)

North Carolina
(9/11/2020)

Ohio
(11/15/2021)

Oregon
(4/22/2020)

South Carolina
(6/3/2021)

Texas
(4/30/2021)

Washington
(4/16/2020)

Wyoming
(4/3/2020)

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: 10/23/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/24/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative 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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Robert S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Scott Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

PACIFIC WEST SECURITIES, INC.

BROOKSTREET SECURITIES CORPORATION

TOLUCA PACIFIC SECURITIES CORP.

VERAVEST INVESTMENTS, INC.

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/23/1985

SIE

Date: 10/1/2018

Series 3

Date: 6/24/1987

Series 7

Date: 9/21/1985

FINRA

Current Firm

EMERSON EQUITY LLC

Contact information

SEC notice filing (32 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

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