James Martin Hickey

LPL FINANCIAL LLC

LAS VEGAS, NV · CRD#

TRANSAMERICA FINANCIAL ADVISORS, LLC

LAS VEGAS, NV · CRD#

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Contact Information

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

40 years in the financial services industry

Current & Past Employments

EMERSON EQUITY LLC·CRD# 130032

RIA

1925 Village Center Circle Suite `150, Las Vegas, NV 89134

June 14, 2019 - Present

EMERSON EQUITY LLC·CRD# 130032

RIA

1925 Village Center Circle Suite `150, Las Vegas, NV 89134

June 14, 2019 - Present

SELECT CAPITAL CORPORATION·CRD# 145997

Ladera Ranch, CA

September 30, 2011 - June 17, 2019

U.S. SELECT SECURITIES LLC·CRD# 133082

Ladera Ranch, CA

March 8, 2005 - October 3, 2011

GRUBB & ELLIS SECURITIES, INC.·CRD# 17932

Santa Ana, CA

November 21, 2003 - January 3, 2005

UBS ASSET MANAGEMENT (US) INC.·CRD# 583

New York, NY

December 21, 2001 - November 17, 2003

UBS FINANCIAL SERVICES INC.·CRD# 8174

Weehawken, NJ

September 15, 2000 - January 17, 2002

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC·CRD# 332

San Mateo, CA

February 17, 1998 - May 5, 2000

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP·CRD# 7325

Boston, MA

July 10, 1997 - January 30, 1998

COREBRIDGE CAPITAL SERVICES, INC.·CRD# 13158

Jersey City, NJ

October 30, 1996 - July 3, 1997

RELATED EQUITIES CORPORATION·CRD# 11218

New York, NY

June 4, 1992 - August 1, 1996

CITICORP INVESTMENT SERVICES·CRD# 23988

Long Island City, NY

February 4, 1992 - June 2, 1992

IDS LIFE INSURANCE COMPANY·CRD# 6321

Minneapolis, MN

June 12, 1991 - February 6, 1992

AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363

Minneapolis, MN

June 12, 1991 - February 6, 1992

JONES INTERNATIONAL SECURITIES, LTD.·CRD# 13288

Englewood, CO

January 31, 1990 - October 16, 1990

IDS LIFE INSURANCE COMPANY·CRD# 6321

Minneapolis, MN

April 26, 1989 - January 16, 1990

AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363

Minneapolis, MN

April 26, 1989 - January 16, 1990

CINCINNATI ANALYSTS, INC.·CRD# 5478

February 24, 1988 - November 19, 1988

MCG PORTFOLIO MANAGEMENT CORP.·CRD# 7070

October 20, 1987 - February 1, 1988

LIBERTY CAPITAL MARKETS, INC.·CRD# 16534

February 3, 1987 - June 4, 1987

ADVANTAGE CAPITAL CORPORATION·CRD# 146

June 12, 1986 - November 19, 1986

WADDELL & REED·CRD# 866

May 21, 1986 - June 30, 1986

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

EMERSON EQUITY LLC

DIAMOND MOUNTAIN FINANCIAL | 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).

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

343

SEC notice filing (34 States and Territories)

Registered to provide investment advisory services in 34 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 34 US states and territories.

Documents

Part 2 Brochures

FORM ADV PART 2 (4/8/2026)

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

682

AUM (Assets Under Management)

$321,704,653

Disclosures

Regulatory Event

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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.

1)-CAI INVESTMENTS-INVESTMENT RELATED-16481 MURPHY AVENUE, IRVINE, CA 92606-WHOLESALING-ALTERNATIVE INVESTMENTS-SR. VP-CAPITAL MARKETS-8 HOURS DURING SECURITIES TRADING HOURS-WHOLESALE CAI INVESTMENTS PROGRAMS THROUGH BROKER/DEALER/RIA 2) JAMES HICKEY CONSULTING LLC-NOT INVESTMENT RELATED, 4281 SOLACE STREET, LAS VEGAS, NV 89135,TAX PURPOSES, MANAGER, PAYMENT OF BUSINESS EXPENSES, LESS THAN 5 HRS MONTHLY, LESS THAN 5 HRS DURING SECURITIES TRADING HOURS, 02/2026

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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

DIAMOND MOUNTAIN FINANCIAL | 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)

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

Arizona
(6/28/2019)

California
(6/14/2019)

IAR

California
(6/14/2019)

Nevada
(6/14/2019)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

FINRA

SRO Registrations

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view James Martin Hickey's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Martin Hickey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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