Ronald S. Cole

EMERSON EQUITY LLC

SAN MATEO, CA 94402

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CRD#: 1434325

Professional summary

Ronald Stillman Cole is a registered financial professional currently at EMERSON EQUITY LLC located in San Mateo, California.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1986. Ronald has worked at 21 firms and has passed the Series 66, Series 65, Series 63, SIE 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 Ronald Stillman Cole'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 20, 2024 - Present

EMERSON EQUITY LLC

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

RIA

CRD#: 130032

SAN MATEO, CA

Past

January 9, 2024 - August 20, 2024

GREAT POINT CAPITAL LLC

CRD#: 114203

CHICAGO, IL

Past

March 17, 2020 - January 10, 2024

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

February 4, 2020 - March 18, 2020

GREAT POINT CAPITAL LLC

CRD#: 114203

Newport, RI

Past

May 3, 2018 - February 5, 2020

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

Newport, RI

Past

January 9, 2018 - May 4, 2018

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

Wethersfield, CT

Past

October 24, 2016 - December 1, 2017

INLAND SECURITIES CORPORATION

CRD#: 15807

OAK BROOK, IL

Past

June 10, 2013 - October 19, 2016

EDI FINANCIAL, INC.

CRD#: 15699

LAKE COMO, NJ

Past

February 22, 2011 - May 29, 2013

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

LAKE COMO, NJ

Past

July 15, 2010 - February 22, 2011

AMERICAN BEACON PARTNERS, INC.

CRD#: 15791

AVON BY THE SEA, NJ

Past

October 23, 2008 - February 25, 2009

LONGVIEW FINANCIAL GROUP, INC

CRD#: 38286

NEW YORK, NY

Past

April 23, 2008 - August 13, 2008

WM SMITH & CO.

CRD#: 30777

NEW YORK, NY

Past

September 18, 2007 - April 21, 2008

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

May 7, 2007 - October 8, 2007

NATIONAL SECURITIES CORPORATION

CRD#: 7569

ELMSFORD, NY

Past

March 7, 2007 - April 2, 2007

WESTROCK ADVISORS, INC.

CRD#: 114338

NEW YORK, NY

Past

June 22, 2006 - February 13, 2007

MATRIX U.S.A., LLC

CRD#: 38057

NEW YORK, NY

Past

May 22, 2000 - October 31, 2001

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 20, 1998 - May 26, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 5, 1995 - January 9, 1998

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 6, 1995 - May 9, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 17, 1993 - March 7, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 16, 1991 - May 17, 1993

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

July 7, 1987 - August 9, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

May 22, 1986 - June 22, 1987

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

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

Connecticut
(9/11/2024)

Florida
(8/23/2024)

Kentucky
(3/31/2025)

Maine
(8/20/2024)

Massachusetts
(8/28/2024)

New Hampshire
(8/20/2024)

New Jersey
(9/3/2024)

New York
(8/20/2024)

Pennsylvania
(9/3/2024)

Rhode Island
(10/7/2025)

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

IAR

Series 66

Date: 6/29/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/14/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/2006

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

Ronald S. Cole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Stillman Cole's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREAT POINT CAPITAL LLC

EMERSON EQUITY LLC

GREAT POINT CAPITAL LLC

COLORADO FINANCIAL SERVICE CORPORATION

MONEY CONCEPTS CAPITAL CORP

INLAND SECURITIES CORPORATION

EDI FINANCIAL, INC.

ALLIED BEACON PARTNERS, INC.

AMERICAN BEACON PARTNERS, INC.

LONGVIEW FINANCIAL GROUP, INC

WM SMITH & CO.

AUGMENT SECURITIES INC.

NATIONAL SECURITIES CORPORATION

WESTROCK ADVISORS, INC.

MATRIX U.S.A., LLC

CIBC WORLD MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

A. G. EDWARDS & SONS, INC.

KIDDER, PEABODY & CO. INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

L. F. ROTHSCHILD & CO. INCORPORATED

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/29/2006

Series 65

Date: 9/14/1998

Series 63

Date: 9/20/1991

SIE

Date: 10/1/2018

Series 7

Date: 6/21/2006

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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