AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NS

Nancy C. Schneider

Some features on this profile are disabled
CRD#: 2006687
NS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nancy Carol Schneider, who also goes by Nancy Schneider, was a registered financial professional .

Nancy is a previously registered financial professional and started their career in finance in 1990. Nancy had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nancy Schneider

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) INDEPENDENT WEALTH NETWORK(IWN)-INVESTMENT RELATED, 1202 E. MARYLAND AVE., STE 1J, PHOENIX, AZ 85014, IWN'S HOME OFFICE: 2380 NW 128TH ST., URBANDALE, IA 50323, REGISTERED INVESTMENT ADVISORY FIRM, FINANCAL PROFESSIONAL/REGISTERED INVESTMENT ADVISOR REPRESENTATIVE, ADMIN ASST., CHARGE A FEE FOR ASSETS MANAGED, 28 HRS MONTHLY, 13 HRS MONTHLY DURING SECURITIES TRADING HRS, 08/2017 2) NANCY SCHNEIDER-SELF EMPLOYMENT- INVESTMENT RELATED, 9635 N 35TH ST., PHOENIX, AZ 85028, SELLING AND MANAGEMENT OF FIXED AND INSURANCE PRODUCTS, INSURANCE AGENT, SELLING OF INSURANCE PRODUCTS INCLUDING LIFE INSURANCE, LONG TERM CARE, FIXED/GUARANTEED ANNUITIES, DISABILITY, HEALTH, 3 HRS MONTH, 0 HRS MONTH DURING SECURITIES TRADING HOURS, 01/1990 3) PREFERRED FINANCIAL GROUP-INVESTMENT RELATED, 1202 E. MARYLAND AVE., STE 1J, PHOENIX, AZ, 85014, DBA THAT MARKETS SECURITIES OFFERED THROUGH OUR BROKER/DEALER EMERSON EQUITY LLC., ADM. ASST. FINANCIAL PROFESSIONAL, ASSIST STAFF WITH ALL ASPECTS OF BUSINESS, 5 HRS A MONTH, 5 HRS A MONTH DURING SECURITIES TRADING HOURS, 04/2016 4) PREFERRED WEALTH MANAGEMENT-INVESTMENT RELATED, 1202 E. MARYLAND AVE., STE 1J, PHOENIX, AZ 85014, IWN HOME OFFICE: 2380 NW 128TH ST., URBANDALE, IA 50323, DBA MARKETING FEE-BASED SECURITIES AND FINANCIAL PLANNING PRODUCTS AND SERVICES UNDER RIA IWN, FINANCIAL ADVISOR WITH IWN, SALES AND SERVICE OF FEE-BASED SECURITIES AND FINANCIAL PLANNING PRODUCTS., 57 HRS MONTHLY, 13 HRS MONTHLY DURING SECURITIES TRADING HRS, 08/2017 5) PREFERRED GROUP-INVESTMENT RELATED, 1202 E. MARYLAND AVE., STE., 1J, PHOENIX, AZ 85014, DBA WHERE I MARKET AND OFFER FIXED INSURANCE PRODUCTS NOT DONE THROUGH NANCY SCHNEIDER INSURANCE, LICENSED INSURANCE AGENT, SALES OF COMMISSION BASED FIXED INSURANCE PRODUCTS, 5 HRS MONTH, 5 HRS MONTH DURING SECURITIES TRADING HOURS, 04/2016

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 8, 2024 - November 19, 2024

EMERSON EQUITY LLC

BD
CRD#: 130032
Phoenix, AZ
Past

September 15, 2017 - November 12, 2024

INDEPENDENT WEALTH NETWORK, INC.

RIA
CRD#: 286262
Phoenix, AZ
Past

August 28, 2017 - December 31, 2023

INTEGRITY ALLIANCE, LLC.

BD
CRD#: 139627
Phoenix, AZ
Past

October 7, 2015 - April 7, 2016

HORACE MANN INVESTORS, INC.

BD
CRD#: 11643
Phoenix, AZ
Past

August 21, 2014 - September 9, 2015

CORECAP ADVISORS

RIA
CRD#: 158819
PHOENIX, AZ
Past

January 6, 2012 - June 26, 2014

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
PHOENIX, AZ
Past

December 22, 2011 - June 26, 2014

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
PHOENIX, AZ
Past

January 23, 2007 - September 7, 2010

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
SCOTTSDALE, AZ
Past

January 12, 2007 - September 7, 2010

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
SCOTTSDALE, AZ
Past

February 7, 2003 - December 31, 2006

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
PHOENIX, AZ
Past

May 19, 1998 - February 7, 2003

THE MASTERS, INC.

RIA
CRD#: 108432
PHOENIX, AZ
Past

January 2, 1998 - December 31, 2006

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
PHOENIX, AZ
Past

July 2, 1992 - December 31, 1997

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

October 25, 1991 - July 2, 1992

PENTAD SECURITIES, INC.

BD
CRD#: 15161
SUN CITY, AZ
Past

January 23, 1990 - October 14, 1991

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/4/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/8/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/6/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1990
General Securities Representative Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/27/2025)

Direct owners and executive officers

NamePositionCRD#
BALDINI, DOMINIC JULIOMANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP3082081
MORRISSEY, KATHLEEN FRANCESCHIEF OPERATIONS OFFICER1771747
SNYDER, SEAN KRISTIANCHIEF STRATEGY OFFICER1860842

Regulatory assets under management

Total Number of Accounts1,091
AUM (Assets Under Management)$ 327,937,701

Disclosures

Regulatory Event2

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#: 130032

TRUST BUT VERIFY

Monitor Nancy Schneider

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.