HD
Howard Davis
EMERSON EQUITY LLC
Woodland Hills, CA 91367
Some features on this profile are disabled
CRD#: 1782118
HD
Professional summary
Howard Davis is a registered financial advisor currently at EMERSON EQUITY LLC located in Woodland Hills, California.
Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Howard has worked at 17 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 22, Series 14, Series 24, Series 26 and Series 39 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.
1)- MOUNTAIN GATE ADVISORS-NOT INVESTMENT RELATED; 21900 BURBANK BLVD,STE 300, WOODLAND HILLS, CA 91367; BUSINESS PLANNING,STRATEGIC PLANNING AND ADVICE. OWNER, BUSINESS PLANNING AND ADVISORY; 3/2020, 1 HR PER WEEK DURING SECURITIES TRADING HOURS. 2) EMERSON EQUITY LLC - INVESTMENT RELATED; 155 BOVET ROAD, STE 725; SECURITIES BROKER/DEALER; EXECUTIVE VP, COMPLIANCE AND REGULATORY AFFAIRS, 140 HRS PER MONTH AND 100 DURING SECURITIES TRADING HRS, 12/2021 3) WSU PULLMAN, LLC-INVESTMENT RELATED, 155 BOVET ROAD STE 725 SAN MATEO, CA 94402, REAL ESTATE FINANCE, MANAGING MEMBER, MANAGMENT, 10 HOURS MONTHLY WITH 10 HOURS MONTHLY DURING SECURITIES TRADING HOURS, 08/2022 4) EMERSON EQUITY BRIDGE FUND I, LLC-INVESTMENT RELATED, 155 BOVET ROAD, SAN MATEO, CA 94402, BRIDGE LOAN FUND, MANAGING MEMBER OF THE MANAGER OF THE FUND, THROUGH EMERSON CAPITAL MANAGEMENT, LLC MANAGE THE AFFAIRS FOR THE FUND., 5 HOURS DURING THE MONTH, 5 HRS DURING SECURITIES TRADING HOURS, 04/2024 5) EMERSON CAPITAL MANAGEMENT, LLC-INVESTMENT RELATED, 155 BOVET ROAD, SAN MATEO, CA 94402, MANAGER OF EMERSON EQUITY BRIDGE FUND I, LLC., MANAGING MEMBER, MANAGEMENT OF EMERSON EQUITY BRIDGE FUND I, LLC., 5 HRS MONTHLY 5 HRS DURING SECURITIES TRADING HOURS, 04/2024 6)-VERSITY INVESTIGATION FUND LLC-NOT INVESTMENT RELATED, 21900 BURBANK BLVD., STE 300 WOODLAND HILLS, CA 91367, RESEARCH, MANAGER, COORDINATING RESEARCH, 2 HRS MONTHLY, 2 HRS DURING SECURITIES TRADING HOURS, 04/2024
CRS (Client Relationship Summary) - RIA
Click below to view Howard Davis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Howard Davis'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 3, 2021 - Present
EMERSON EQUITY LLC
Office #1: 21900 Burbank Blvd Ste 300, Woodland Hills, CA 91367RIA
BD
CRD#: 130032
Woodland Hills, CA
Current
December 3, 2021 - Present
EMERSON EQUITY LLC
Office #1: 21900 Burbank Blvd Ste 300, Woodland Hills, CA 91367RIA
BD
CRD#: 130032
Woodland Hills, CA
Past
July 29, 2022 - May 26, 2023
LYNDHURST SECURITIES INC.
BD
CRD#: 315582
WOODLAND HILLS, CA
Past
September 22, 2020 - March 8, 2022
D-MERC SERVICES
BD
CRD#: 292310
Woodland Hills, CA
Past
January 12, 2015 - March 2, 2020
CL WEALTH MANAGEMENT LLC
RIA
CRD#: 134922
NEW YORK, NY
Past
December 17, 2014 - March 2, 2020
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
NEW YORK, NY
Past
August 23, 2013 - September 15, 2014
SANDLAPPER WEALTH MANAGEMENT, LLC
RIA
CRD#: 164443
CALABASAS, CA
Past
August 1, 2013 - September 15, 2014
SANDLAPPER SECURITIES, LLC
BD
CRD#: 137906
AGOURA HILLS, CA
Past
September 20, 2011 - July 26, 2013
FINANCIAL WEST GROUP
RIA
CRD#: 16668
SAN FRANCISCO, CA
Past
February 24, 2010 - September 28, 2011
EQIS SECURITIES, LLC
BD
CRD#: 20633
WESTLAKE VILLAGE, CA
Past
May 27, 2008 - November 18, 2008
THE SHEMANO GROUP, INC.
BD
CRD#: 35528
SAN FRANCISCO, CA
Past
December 13, 2007 - November 7, 2008
KLEIN INVESTMENT GROUP, L.P.
BD
CRD#: 36392
BEVERLY HILLS, CA
Past
October 8, 2007 - July 26, 2013
FINANCIAL WEST GROUP
BD
CRD#: 16668
SAN FRANCISCO, CA
Past
September 10, 2007 - October 3, 2007
KLEIN INVESTMENT GROUP, L.P.
BD
CRD#: 36392
BEVERLY HILLS, CA
Past
May 30, 2003 - September 14, 2007
THE SHEMANO GROUP, INC.
BD
CRD#: 35528
BEVERLY HILLS, CA
Past
March 11, 1998 - July 28, 2003
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
November 15, 1990 - May 10, 1999
TRADEPORTAL SECURITIES, INC.
BD
CRD#: 25001
ALISO VIEJO, CA
Past
August 20, 1990 - November 24, 1990
BROKERS INVESTMENT CORPORATION
BD
CRD#: 16607
CANOGA PARK, CA
Past
January 4, 1990 - December 24, 1990
WENTWORTH SECURITIES, INC.
BD
CRD#: 18223
Past
March 23, 1988 - January 1, 1990
REMINGTON SECURITIES, INC.
BD
CRD#: 16695
Past
January 2, 1988 - March 8, 1988
BRIGHTON INDUSTRIES, INC.
BD
CRD#: 16902
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
IAR
California(12/3/2021)
RR
California(12/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
