PF
Phillip Falk
EMERSON EQUITY LLC
McKinney, TX
Some features on this profile are disabled
CRD#: 2372997
PF
Professional summary
Phillip Falk is a registered financial advisor currently at EMERSON EQUITY LLC located in Mckinney, Texas.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Phillip has worked at 17 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 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)-CAPROCK REAL ESTATE-INVESTMENT RELATED-65 WACKER PLACE,STE 820, CHICAGO, IL 60601-12/2020-SENIOR DIRECTOR BUSINESS DEVELOPMENT, MARKETING FOR 1031 PROPERTIES, PROPERTY MANAGEMENT, 16 HOURS A MONTH DURING SECURITIES TRADING HOURS. 2)-SYMMETRY FINANCIAL INSURANCE-NOT INVESTMENT RELATED-1221 LENAPE WAY, SCOTCH PLAINS, NJ 07076-INSURANCE SPECIALIST/FMO, HELP CLIENTS INVEST FOR RETIRMENT-4 HOURS A MONTH DURING SECURITIES TRADING HOURS, 3) HIGHLAND CAPITAL BROKERAGE-INVESTMENT RELATED, 3535 GRANDVIEW PARKWAY STE 600 BIRMINGHAM, AL 35243, LIFE, HEALTH AND ANNUITY INSURANCE BUSINESS, INDEPENDENT INSURANCE SALES, HELPING CLIENTS WITH THEIR INSURANCE NEEDS, 8 HOURS A MONTH, 16 HOURS A MONTH DURING SECURITIES TRADING HOURS, 09/2023 4)-R. HENRY ZAARINI-INVESTMENT RELATED, 250 E ILLINOIS RD STE 202, LAKE FOREST, IL 60045, LIFE INSURANCE SALES, INSURANCE SALES AGENT, REFERRAL SOURCE FOR LIFE INSURANCE SALES, LESS THAN 1 HR A MONTH, LESS THAN 1 HR A MONTH DURING SECURITIES TRADING HOURS, 12/1999 5)-NEXTPOINT MYGA-INVESTMENT RELATED, 300 WEST 11TH STREET KANSAS CITY, MO 64105, FIXED ANNUITY SALES, INSURANCE SALES AGENT, SELLING FIXED ANNUITY PRODUCTS, LESS THAN 1 HR A MONTH, LESS THAN 1 HR A MONTH DURING SECURITIES TRADING HOURS, 04/2023
CRS (Client Relationship Summary) - RIA
Click below to view Phillip Falk's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Phillip Falk'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
July 23, 2021 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
McKinney, TX
Current
July 22, 2021 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #2: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
March 14, 2021 - June 28, 2021
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
LAKE FOREST, IL
Past
February 7, 2020 - July 1, 2021
FOURSTAR WEALTH ADVISORS, LLC
RIA
CRD#: 169613
Lake Forest, IL
Past
July 30, 2019 - March 16, 2020
BLUESKYE INVESTMENT ADVISERS, LLC
RIA
CRD#: 161097
Chicago, IL
Past
April 13, 2018 - December 31, 2018
GREAT POINT ADVISORS LLC
RIA
CRD#: 164554
CHICAGO, IL
Past
June 5, 2017 - March 16, 2021
GREAT POINT CAPITAL LLC
BD
CRD#: 114203
CHICAGO, IL
Past
October 13, 2016 - June 1, 2017
PAULSON INVESTMENT COMPANY LLC
BD
CRD#: 5670
Chicago, IL
Past
November 13, 2015 - June 23, 2016
FOREST SECURITIES,INC.
BD
CRD#: 16255
HILLSIDE, IL
Past
October 27, 2009 - November 2, 2015
LANDOLT SECURITIES, INC.
BD
CRD#: 28352
LAKE BLUFF, IL
Past
October 14, 2008 - October 27, 2009
WORKMAN SECURITIES CORPORATION
RIA
CRD#: 31898
LAKE FOREST, IL
Past
October 14, 2008 - October 27, 2009
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
LAKE FOREST, IL
Past
October 4, 2006 - October 24, 2008
ADVANCED EQUITIES, INC.
RIA
CRD#: 35545
CHICAGO, IL
Past
January 20, 2006 - October 24, 2008
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
CHICAGO, IL
Past
January 31, 2003 - January 30, 2006
WILLIAM BLAIR
BD
CRD#: 1252
CHICAGO, IL
Past
January 17, 2003 - February 14, 2003
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
CHICAGO, IL
Past
January 17, 2003 - February 14, 2003
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
September 5, 2000 - January 17, 2003
PERSHING LLC
RIA
CRD#: 7560
CHICAGO, IL
Past
September 5, 2000 - January 17, 2003
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
July 1, 1998 - September 18, 2000
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
July 3, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
BD
CRD#: 1541
NEW YORK, NY
Past
August 13, 1993 - July 11, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
RR
California(1/20/2025)
RR
Florida(1/26/2024)
RR
Illinois(7/22/2021)
IAR
Illinois(7/23/2021)
RR
New York(1/31/2025)
RR
Texas(4/7/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
