Christopher A. Maddox

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CRD#: 2050074

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.

Christopher Allen Maddox, who also goes by Chris Maddox, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1990. Christopher had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Maddox

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.

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

October 29, 2015 - January 22, 2016

EMERSON EQUITY LLC

CRD#: 130032

MINNEAPOLIS, MN

Past

November 25, 2008 - March 10, 2014

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

MINNEAPOLIS, MN

Past

July 27, 2006 - June 25, 2009

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

January 17, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 17, 2002 - March 10, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 16, 2000 - December 7, 2001

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

May 16, 1998 - March 24, 2000

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

March 1, 1996 - September 22, 1997

PASADENA FUND SERVICES, INC.

CRD#: 28494

Past

October 12, 1990 - December 14, 1995

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

May 11, 1990 - September 26, 1990

WADDELL & REED

CRD#: 866

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/26/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/10/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/22/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/10/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/1997

General Securities Principal Examination

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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Firm Stability Insights

Christopher A. Maddox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

RIVERSOURCE DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

PASADENA FUND SERVICES, INC.

IFMG SECURITIES, INC.

WADDELL & REED

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/1996

Series 63

Date: 5/10/1990

SIE

Date: 1/22/2016

Series 7

Date: 7/17/1995

Series 6

Date: 5/10/1990

Series 24

Date: 7/9/1997

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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