LI
Lance S. Ichikawa
EMERSON EQUITY LLC
Foster City, CA
Some features on this profile are disabled
CRD#: 1519862
LI
Professional summary
Lance Shigeo Ichikawa, who also goes by Lance Ichikawa, is a registered financial advisor currently at EMERSON EQUITY LLC located in Foster City, California.
Lance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Lance has worked at 7 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lance Ichikawa
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)- LANCE ICHIKAWA INSURANCE, INVESTMENT RELATED, 1115 DECATUR ST., FOSTER CITY, CA 94404, FIXED INSURANCE SALES, INSURANCE AGENT, SELLING FIXED INSURANCE PRODUCTS WHEN NEEDED, 0 HOURS MONTHLY, 0 HOURS DURING SECURITIES TRADING HOURS, 04/1989
CRS (Client Relationship Summary) - RIA
Click below to view Lance Shigeo Ichikawa's 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®
NoneExperience
Current
February 15, 2024 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
Foster City, CA
Past
June 1, 2017 - February 16, 2024
C2C WEALTH MANAGEMENT, LLC
RIA
CRD#: 284148
San Mateo, CA
Past
May 3, 2010 - October 2, 2017
CONCERT WEALTH MANAGEMENT
RIA
CRD#: 141253
SAN MATEO, CA
Past
August 3, 2006 - April 30, 2010
EMERSON EQUITY LLC
RIA
CRD#: 130032
SAN MATEO, CA
Past
August 3, 2006 - April 30, 2010
EMERSON EQUITY LLC
BD
CRD#: 130032
SAN MATEO, CA
Past
February 21, 2006 - August 4, 2006
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
MENLO PARK, CA
Past
November 16, 2005 - August 4, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
MENLO PARK, CA
Past
July 10, 2003 - November 3, 2005
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
LOS GATOS, CA
Past
June 11, 2003 - November 3, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
February 5, 2002 - September 3, 2002
PIPER SANDLER & CO.
RIA
CRD#: 665
SAN FRANCISCO, CA
Past
February 16, 2001 - September 3, 2002
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
November 25, 1987 - February 26, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
EE
EMERSON EQUITY LLC
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)BD
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.Highlighted states indicate IAR registrations
IAR
California(2/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
EE
EMERSON EQUITY LLC
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)BD
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)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
