PS
Patrick T. Shea
EMERSON EQUITY LLC
San Rafael, CA 94903
Some features on this profile are disabled
CRD#: 1654953
PS
Professional summary
Patrick Terrence Shea, who also goes by Patrick Shea, Terry Shea, is a registered financial professional currently at EMERSON EQUITY LLC located in San Rafael, California.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1988. Patrick has worked at 10 firms and has passed the Series 63, SIE and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Patrick Shea | Terry Shea
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.
CRS (Client Relationship Summary) - BD
Click below to view Patrick Terrence Shea'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
January 12, 2023 - Present
EMERSON EQUITY LLC
Office #1: 117 Paul Drive Ste B, San Rafael, CA 94903RIA
BD
CRD#: 130032
San Rafael, CA
Past
April 2, 2015 - December 31, 2022
WHITEHALL-PARKER SECURITIES, INC.
BD
CRD#: 10608
Novato, CA
Past
August 6, 2007 - March 30, 2015
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
NOVATO, CA
Past
June 27, 2007 - August 7, 2007
WEDBUSH SECURITIES INC.
BD
CRD#: 877
PASADENA, CA
Past
May 1, 2006 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN RAFAEL, CA
Past
October 1, 2004 - April 29, 2006
ARCHER ALEXANDER SECURITIES CORPORATION
BD
CRD#: 41555
SAN RAFAEL, CA
Past
January 30, 1992 - December 31, 1993
CYPRESS CAPITAL CORPORATION
BD
CRD#: 7919
Past
February 26, 1990 - January 7, 1992
WALDRON & CO., INC.
BD
CRD#: 868
IRVINE, CA
Past
October 10, 1988 - November 18, 1989
RIDGEWOOD SECURITIES CORPORATION
BD
CRD#: 15453
MONTVALE, NJ
Past
March 15, 1988 - May 4, 1988
HEMISPHERE SECURITIES, INC.
BD
CRD#: 17956
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.
RR
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
RR
California(1/12/2023)
RR
Colorado(1/12/2023)
RR
Oregon(7/31/2024)
RR
Texas(1/12/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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 (33 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.
Company Information
EMERSON EQUITY LLC
CRD#: 130032San Rafael, CA 94903TRUST BUT VERIFY
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