Kevin J. Hickam

EMERSON EQUITY LLC

Irvine, CA 92618

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CRD#: 2010982

Professional summary

Kevin Jon Hickam, who also goes by Kevin Hickam, is a registered financial advisor currently at EMERSON EQUITY LLC located in Irvine, California.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Kevin has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Hickam

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) IRVINE ADVISORS, LLC; IS OTHER BUSINESS INVESTMENT RELATED: NO; ADDRESS OF OTHER BUSINESS: 9940 RESEARCH DRIVE, IRVINE CA 92618; NATURE OF OTHER BUSINESS: ENTITY THROUGH WHICH AFFILIATE'S SECURITIES RELATED BUSINESS IS MARKETED; POSITION/TITLE: LLC MEMBER; START DATE: 01/2015; APPROXIMATE NUMBER OF HOURS DEVOTED TO OTHER BUSINESS PER MONTH: 160 HOURS; NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: 7.5 HOURS PER DAY; DUTIES: ENTITY USED FOR BRANDING/MARKETING PURPOSES ONLY, NO SPECIFIC DAY TO DAY ACTIVITY IN REGARDS TO THE LLC ITSELF. 2) DANA NORTH LLC-INVESTMENT RELATED, 341929-34196 PACIFIC COAST HWY, DANA POINT, CA 92629, DEVELOPING A CONDO PROJECT, MEMBER OF LLC, INVESTORS IN A CONDO DEVELOPMENT PROJECT., 5-10 HOURS PER MONTH, 5-10 HRS DAILY DURING SECURITIES TRADING HOURS, 10/2025 KJHDM 918 LLC; INVESTMENT RELATED; 918 DEL MAR AVE, SAN JOSE, CA 95128; LLC OWNS INTEREST IN RENTAL PROPERTY LOCATED AT THE ADDRESS; INVESTOR WITH BROTHER AND PARENTS; MINOR DUTIES AS BROTHER MANAGES THE PROPERTY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Jon Hickam's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kevin Jon Hickam's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 13, 2016 - Present

EMERSON EQUITY LLC

Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618

RIA

CRD#: 130032

Irvine, CA

Current

November 11, 2013 - Present

EMERSON EQUITY LLC

Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618

RIA

CRD#: 130032

Irvine, CA

Past

October 24, 2013 - November 5, 2013

CABIN SECURITIES, INC.

CRD#: 137608

OVERLAND PARK, KS

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".

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)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(2/7/2014)

California
(11/11/2013)

IAR

California
(5/13/2016)

Colorado
(4/2/2014)

Connecticut
(11/12/2014)

Florida
(12/2/2013)

Georgia
(11/22/2013)

Illinois
(4/15/2014)

Indiana
(12/13/2013)

Louisiana
(2/7/2014)

Maryland
(2/7/2014)

Massachusetts
(11/22/2013)

Michigan
(12/2/2013)

Missouri
(2/7/2014)

Nevada
(1/24/2014)

New Hampshire
(4/23/2014)

New Mexico
(4/10/2014)

New York
(11/22/2013)

North Carolina
(2/10/2014)

Oklahoma
(6/25/2024)

Oregon
(1/23/2014)

Pennsylvania
(2/27/2014)

South Carolina
(7/29/2024)

Tennessee
(5/19/2024)

Texas
(12/2/2013)

Utah
(1/24/2014)

Virginia
(4/15/2014)

Washington
(12/2/2013)

Wisconsin
(12/19/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/19/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2013

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 11/10/1989

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 24

Date: 8/18/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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)

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

Name	Position	CRD#
BALDINI, DOMINIC JULIO	MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP	3082081
MORRISSEY, KATHLEEN FRANCES	CHIEF OPERATIONS OFFICER	1771747
SNYDER, SEAN KRISTIAN	CHIEF STRATEGY OFFICER	1860842

Regulatory assets under management

Total Number of Accounts	1,091
AUM (Assets Under Management)	$ 327,937,701

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Kevin J. Hickam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Jon Hickam's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kevin Jon Hickam's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

CABIN SECURITIES, INC.

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2014

Series 63

Date: 10/28/2013

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2013

Series 2

Date: 11/10/1989

Series 24

Date: 8/18/2018

FINRA

Current Firm

EMERSON EQUITY LLC

Contact information

SEC notice filing (32 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

EMERSON EQUITY LLC

TRUST BUT VERIFY

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