Robert J. Steger

EMERSON EQUITY LLC

Half Moon Bay, CA

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CRD#: 1418494

Professional summary

Robert Joseph Steger, who also goes by Robert Joseph Dteger, Robert Joseph Stegar, is a registered financial advisor currently at EMERSON EQUITY LLC located in Half Moon Bay, California.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert Joseph Dteger | Robert Joseph Stegar

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) - RIA

Click below to view Robert Joseph Steger's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert Joseph Steger'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

August 26, 2020 - Present

EMERSON EQUITY LLC

RIA

CRD#: 130032

Half Moon Bay, CA

Current

August 26, 2020 - Present

EMERSON EQUITY LLC

Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #2: 155 Bovet Road, Suite 725, San Mateo, CA 94402

RIA

CRD#: 130032

SAN MATEO, CA

Past

June 23, 2010 - August 29, 2018

GOLDMAN SACHS CUSTODY SOLUTIONS

CRD#: 48015

MCLEAN, VA

Past

August 22, 2006 - May 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 17, 2004 - April 3, 2006

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

May 14, 2001 - December 17, 2004

CORRESPONDENT SERVICES CORPORATION

CRD#: 25927

NEW YORK, NY

Past

April 26, 2001 - May 17, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 15, 2000 - January 24, 2001

ATEL SECURITIES CORPORATION

CRD#: 17229

SAN FRANCISCO, CA

Past

January 4, 1999 - October 4, 1999

SCUDDER FINANCIAL SERVICES, INC.

CRD#: 41692

BOSTON, MA

Past

May 14, 1997 - December 31, 1998

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

February 1, 1995 - May 5, 1997

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

June 6, 1994 - September 23, 1994

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

July 17, 1991 - April 22, 1994

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

April 5, 1989 - September 20, 1990

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Past

January 28, 1987 - February 10, 1989

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Past

August 13, 1986 - December 13, 1986

MUNICICORP OF CALIFORNIA

CRD#: 7184

Past

June 25, 1986 - September 20, 1990

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(8/26/2020)

IAR

California
(8/26/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/11/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 1/26/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

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 (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.

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Firm Stability Insights

Robert J. Steger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joseph Steger's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert Joseph Steger's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

GOLDMAN SACHS CUSTODY SOLUTIONS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NATIONAL FINANCIAL SERVICES LLC

CORRESPONDENT SERVICES CORPORATION

UBS FINANCIAL SERVICES INC.

ATEL SECURITIES CORPORATION

SCUDDER FINANCIAL SERVICES, INC.

DEAM INVESTOR SERVICES, INC.

BA INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

CITICORP INVESTMENT SERVICES

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MUNICICORP OF CALIFORNIA

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/1997

Series 63

Date: 3/11/1987

SIE

Date: 8/29/2018

Series 7

Date: 6/21/1986

Series 8

Date: 1/26/1999

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

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