James M. Hickey

EMERSON EQUITY LLC

Las Vegas, NV 89134

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CRD#: 1505083

Professional summary

James Martin Hickey is a registered financial advisor currently at EMERSON EQUITY LLC located in Las Vegas, Nevada.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. James has worked at 19 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

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

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)

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

June 14, 2019 - Present

EMERSON EQUITY LLC

Office #1: 1925 Village Center Circle Suite `150, Las Vegas, NV 89134

RIA

CRD#: 130032

Las Vegas, NV

Current

June 14, 2019 - Present

EMERSON EQUITY LLC

Office #1: 1925 Village Center Circle Suite `150, Las Vegas, NV 89134

RIA

CRD#: 130032

Las Vegas, NV

Past

September 30, 2011 - June 17, 2019

SELECT CAPITAL CORPORATION

CRD#: 145997

LADERA RANCH, CA

Past

March 8, 2005 - October 3, 2011

U.S. SELECT SECURITIES LLC

CRD#: 133082

LADERA RANCH, CA

Past

November 21, 2003 - January 3, 2005

GRUBB & ELLIS SECURITIES, INC.

CRD#: 17932

SANTA ANA, CA

Past

December 21, 2001 - November 17, 2003

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

NEW YORK, NY

Past

September 15, 2000 - January 17, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 17, 1998 - May 5, 2000

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

July 10, 1997 - January 30, 1998

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

October 30, 1996 - July 3, 1997

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

June 4, 1992 - August 1, 1996

RELATED EQUITIES CORPORATION

CRD#: 11218

NEW YORK, NY

Past

February 4, 1992 - June 2, 1992

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

June 12, 1991 - February 6, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 12, 1991 - February 6, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 31, 1990 - October 16, 1990

JONES INTERNATIONAL SECURITIES, LTD.

CRD#: 13288

ENGLEWOOD, CO

Past

April 26, 1989 - January 16, 1990

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 26, 1989 - January 16, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

February 24, 1988 - November 19, 1988

CINCINNATI ANALYSTS, INC.

CRD#: 5478

Past

October 20, 1987 - February 1, 1988

MCG PORTFOLIO MANAGEMENT CORP.

CRD#: 7070

Past

February 3, 1987 - June 4, 1987

LIBERTY CAPITAL MARKETS, INC.

CRD#: 16534

Past

June 12, 1986 - November 19, 1986

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

Past

May 21, 1986 - June 30, 1986

WADDELL & REED

CRD#: 866

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

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

State Security Law Exam

IAR

Series 66

Date: 11/19/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/2/1986

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: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/2002

General Securities Principal 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 (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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

James M. Hickey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

EMERSON EQUITY LLC

SELECT CAPITAL CORPORATION

U.S. SELECT SECURITIES LLC

GRUBB & ELLIS SECURITIES, INC.

UBS ASSET MANAGEMENT (US) INC.

UBS FINANCIAL SERVICES INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

COREBRIDGE CAPITAL SERVICES, INC.

RELATED EQUITIES CORPORATION

CITICORP INVESTMENT SERVICES

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

JONES INTERNATIONAL SECURITIES, LTD.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

CINCINNATI ANALYSTS, INC.

MCG PORTFOLIO MANAGEMENT CORP.

LIBERTY CAPITAL MARKETS, INC.

ADVANTAGE CAPITAL CORPORATION

WADDELL & REED

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/19/2002

Series 63

Date: 6/2/1986

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1986

Series 24

Date: 12/21/2002

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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