Michelle F. Osborne

EMERSON EQUITY

East Largo, FL

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CRD#: 2256998

Professional summary

Michelle Fisher Osborne, who also goes by Michelle Osborne Fleming, Michelle Osborne Fleming, Michelle Osborne-fleming, Michelle Fisher Rachfalski, is a registered financial professional currently at EMERSON EQUITY LLC located in East Largo, Florida.

Michelle is registered as a RR (Registered Representative) and started their career in finance in 1992. Michelle has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michelle Osborne Fleming | Michelle Osborne Fleming | Michelle Osborne-Fleming | Michelle Fisher Rachfalski

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) - BD

Click below to view Michelle Fisher Osborne'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

November 8, 2023 - Present

EMERSON EQUITY LLC

RIA

CRD#: 130032

East Largo, FL

Past

November 10, 2020 - November 9, 2023

CAPE SECURITIES INC.

CRD#: 7072

MCDONOUGH, GA

Past

August 1, 2017 - June 16, 2020

CAPE SECURITIES INC.

CRD#: 7072

St. Petersburg, FL

Past

April 6, 2017 - July 28, 2017

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

ST. PETERSBURG, FL

Past

March 28, 2017 - April 19, 2017

CAPE SECURITIES INC.

CRD#: 7072

St. Petersburg, FL

Past

May 19, 2015 - April 13, 2017

IFS SECURITIES

CRD#: 40375

St. Petersburg, FL

Past

February 7, 2013 - March 13, 2015

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

DUNEDIN, FL

Past

October 29, 2012 - December 21, 2012

PRINCIPAL SECURITIES, INC.

CRD#: 1137

TAMPA, FL

Past

October 26, 2011 - November 7, 2012

INVEST FINANCIAL CORPORATION

CRD#: 12984

CLEARWATER, FL

Past

April 20, 2011 - October 4, 2011

STILLPOINT CAPITAL, LLC

CRD#: 133146

TAMPA, FL

Past

March 30, 2007 - April 27, 2009

OSAIC FA, INC.

CRD#: 3978

ST. PETERSBURG, FL

Past

August 11, 2006 - March 15, 2007

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

THE VILLAGES, LADY LAKE, FL

Past

May 25, 2006 - August 18, 2006

MIDTOWN PARTNERS

CRD#: 104223

TAMPA, FL

Past

March 5, 2004 - May 26, 2004

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

CHARLOTTE, NC

Past

February 13, 2003 - August 20, 2003

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

May 29, 2001 - June 3, 2002

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

January 14, 2000 - June 18, 2001

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

March 3, 1997 - February 11, 2000

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

February 21, 1996 - March 7, 1997

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

July 19, 1994 - February 14, 1996

JBS LIBERTY SECURITIES, INC.

CRD#: 36179

KANNAPOLIS, NC

Past

April 26, 1993 - January 6, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 4, 1992 - March 1, 1993

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

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
(11/8/2023)

California
(11/8/2023)

Delaware
(2/15/2024)

Florida
(11/13/2023)

Mississippi
(2/18/2025)

Nevada
(11/8/2023)

New York
(11/8/2023)

North Carolina
(9/12/2025)

Ohio
(11/8/2023)

Pennsylvania
(9/12/2025)

South Carolina
(11/21/2023)

Utah
(11/8/2023)

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: 12/31/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/3/1992

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: 4/23/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/3/1992

Investment Company Products/Variable Contracts Representative 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 (33 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

Michelle F. Osborne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michelle Fisher Osborne's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

CAPE SECURITIES INC.

CAPE SECURITIES INC.

NEWBRIDGE SECURITIES CORPORATION

CAPE SECURITIES INC.

IFS SECURITIES

ALLSTATE FINANCIAL SERVICES, LLC

PRINCIPAL SECURITIES, INC.

INVEST FINANCIAL CORPORATION

STILLPOINT CAPITAL, LLC

OSAIC FA, INC.

SYNERGY INVESTMENT GROUP, LLC

MIDTOWN PARTNERS

SYNERGY INVESTMENT GROUP, LLC

GUNNALLEN FINANCIAL, INC

J.J.B. HILLIARD, W.L. LYONS, LLC

CAPITAL INVESTMENT GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

INVEST FINANCIAL CORPORATION

JBS LIBERTY SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/1999

Series 63

Date: 9/3/1992

SIE

Date: 10/1/2018

Series 7

Date: 4/23/1993

Series 6

Date: 8/3/1992

FINRA

Current Firm

EMERSON EQUITY LLC

Contact information

SEC notice filing (33 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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