KM
Kathleen F. Morrissey
EMERSON EQUITY LLC
SAN MATEO, CA 94402
Some features on this profile are disabled
CRD#: 1771747
KM
Professional summary
Kathleen Frances Morrissey, who also goes by Kathleen F Morrissey, Kathy Morrissey, Kathleen Morrissey Steger, is a registered financial advisor currently at EMERSON EQUITY LLC located in San Mateo, California.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kathleen has worked at 6 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen F Morrissey | Kathy Morrissey | Kathleen Morrissey Steger
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.
NAME OF OTHER BUSINESS: NONE; IS OTHER BUSINESS INVESTMENT-RELATED: NO; ADDRESS OF OTHER BUSINESS: 155 BOVET ROAD, SUITE 725, SAN MATEO CA 94402; NATURE OF OTHER BUSINESS: RDG D AND BLUE SKY FILINGS; POSITION WITH OTHER BUSINESS: SELF-EMPLOYED; START DATE: 03/2015; APPROX. NUMBER OF HOURS/MONTH DEVOTED TO OTHER BUSINESS: 2 TO 4 HOURS PER MONTH; NUMBER OF HOURS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS: 0 PER MONTH; DUTIES RELATING TO OTHER BUSINESS: FILING FORM DS AND BLUE SKY FILINGS ON BEHALF OF ISSUERS.
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Frances Morrissey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Frances Morrissey'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
December 20, 2005 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #2: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #3: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Current
December 20, 2005 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #2: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #3: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
July 21, 2004 - December 31, 2005
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
HALF MOON BAY, CA
Past
July 21, 2004 - December 31, 2005
GIRARD SECURITIES, INC.
BD
CRD#: 18697
HALF MOON BAY, CA
Past
February 28, 2003 - July 26, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
SAN MATEO, CA
Past
September 12, 2001 - July 26, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
January 26, 1998 - February 29, 2000
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
May 7, 1991 - July 1, 1994
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
December 22, 1987 - March 26, 1991
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.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(1/3/2014)
RR
Arkansas(2/9/2015)
RR
California(12/20/2005)
IAR
California(12/20/2005)
RR
Colorado(12/3/2024)
RR
District of Columbia(2/10/2015)
IAR
Florida(8/28/2023)
RR
Florida(12/3/2024)
RR
Georgia(4/12/2019)
RR
Hawaii(11/1/2024)
RR
Indiana(12/11/2013)
RR
Louisiana(4/7/2009)
RR
Maryland(12/4/2024)
RR
Massachusetts(12/3/2024)
RR
Minnesota(12/3/2024)
RR
Missouri(5/8/2013)
RR
Nebraska(12/3/2024)
RR
Nevada(12/4/2024)
RR
New York(12/4/2024)
RR
North Carolina(4/7/2009)
RR
Ohio(5/12/2010)
RR
Oklahoma(11/30/2017)
RR
Oregon(1/18/2024)
RR
South Dakota(12/2/2013)
RR
Texas(4/12/2019)
RR
Vermont(8/16/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
