RA
Richard M. Arnitz
EMERSON EQUITY LLC
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 1694002
RA
Professional summary
Richard Michael Arnitz, who also goes by Rich Arnitz, Richard Arnitz, is a registered financial professional currently at EMERSON EQUITY LLC located in Irvine, California.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rich Arnitz | Richard Arnitz
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 Richard Michael Arnitz'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
July 7, 2020 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Past
February 18, 2020 - July 9, 2020
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
Greenwood Village, CO
Past
June 28, 2019 - February 19, 2020
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
SCOTTSDALE, AZ
Past
January 11, 2017 - December 8, 2017
EMERSON EQUITY LLC
BD
CRD#: 130032
Farmers Branch, TX
Past
February 27, 2012 - December 4, 2015
REALTY CAPITAL SECURITIES, LLC
BD
CRD#: 145454
SCOTTSDALE, AZ
Past
June 3, 2010 - April 9, 2012
GRUBB & ELLIS CAPITAL CORPORATION
BD
CRD#: 151226
SANTA ANA, CA
Past
March 7, 2007 - October 7, 2011
GRUBB & ELLIS SECURITIES, INC.
BD
CRD#: 17932
SANTA ANA, CA
Past
March 22, 2005 - November 28, 2005
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
Past
March 27, 2000 - March 14, 2005
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
May 6, 1991 - December 30, 1991
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
February 24, 1988 - March 1, 2000
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
September 24, 1987 - July 9, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
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
Arizona(7/7/2020)
RR
Arkansas(7/19/2022)
RR
California(7/7/2020)
RR
Colorado(7/7/2020)
RR
Connecticut(3/29/2022)
RR
Florida(4/26/2022)
RR
Georgia(8/11/2022)
RR
Idaho(2/15/2022)
RR
Illinois(6/16/2021)
RR
Iowa(1/4/2023)
RR
Louisiana(10/20/2021)
RR
Maine(11/29/2022)
RR
Maryland(4/23/2021)
RR
Massachusetts(7/25/2023)
RR
Michigan(5/25/2021)
RR
Minnesota(7/18/2023)
RR
Nebraska(12/23/2020)
RR
New Hampshire(9/3/2021)
RR
New Jersey(2/14/2023)
RR
New Mexico(9/30/2021)
RR
New York(6/24/2021)
RR
Ohio(3/23/2022)
RR
Oklahoma(9/7/2021)
RR
Oregon(12/9/2021)
RR
Pennsylvania(4/8/2021)
RR
South Dakota(2/21/2024)
RR
Texas(7/27/2021)
RR
Utah(4/28/2023)
RR
Vermont(1/8/2025)
RR
Virginia(10/11/2021)
RR
Wyoming(11/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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 (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.
