AM
Alexander Q. Mccarthy
EMERSON EQUITY LLC
SAN MATEO, CA 94402
Some features on this profile are disabled
CRD#: 2388165
AM
Professional summary
Alexander Quinn Mccarthy, who also goes by Alex Quinn Mccarthy, Alexander Quinn Mccarthy Mr, is a registered financial professional currently at EMERSON EQUITY LLC located in San Mateo, California.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 1995. Alexander has worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alex Quinn Mccarthy | Alexander Quinn Mccarthy Mr
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.
CRS (Client Relationship Summary) - BD
Click below to view Alexander Quinn Mccarthy'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
April 14, 2021 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
November 30, 2017 - April 8, 2021
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
San Francisco, CA
Past
July 11, 2016 - November 30, 2017
B. RILEY & CO., LLC
BD
CRD#: 40355
SAN FRANCISCO, CA
Past
April 20, 2015 - June 29, 2016
CRT CAPITAL GROUP LLC
BD
CRD#: 28830
San Francisco, CA
Past
December 17, 2012 - April 20, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
SAN FRANCISCO, CA
Past
December 12, 2008 - November 5, 2012
THINKEQUITY LLC
BD
CRD#: 44274
SAN FRANCISCO, CA
Past
October 12, 2006 - December 10, 2008
MONTGOMERY & CO., LLC
BD
CRD#: 42300
SAN FRANCISCO, CA
Past
March 10, 2005 - July 19, 2006
JEFFERIES LLC
BD
CRD#: 2347
SAN FRANCISCO, CA
Past
June 12, 2002 - September 22, 2003
PACIFIC GROWTH EQUITIES, LLC
BD
CRD#: 24835
SAN FRANCISCO, CA
Past
February 23, 2001 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
March 15, 2000 - October 2, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
January 11, 2000 - February 22, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 29, 1999 - April 27, 2000
VOLPE BROWN WHELAN & COMPANY, LLC
BD
CRD#: 18329
SAN FRANCISCO, CA
Past
February 3, 1997 - March 8, 1999
COWEN PRIME SERVICES TRADING LLC
BD
CRD#: 23857
NEW YORK, NY
Past
May 23, 1995 - June 18, 1996
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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.
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(4/14/2021)
RR
Colorado(4/14/2021)
RR
Connecticut(4/14/2021)
RR
Florida(5/11/2021)
RR
Maryland(4/15/2021)
RR
Massachusetts(4/15/2021)
RR
Missouri(6/20/2024)
RR
New Jersey(4/14/2021)
RR
New Mexico(1/12/2024)
RR
New York(4/14/2021)
RR
North Carolina(4/15/2021)
RR
Oregon(4/21/2021)
RR
Pennsylvania(4/14/2021)
RR
Texas(5/12/2021)
RR
Utah(4/14/2021)
RR
Virginia(2/13/2023)
RR
Washington(4/14/2021)
RR
Wisconsin(5/13/2024)
RR
Wyoming(7/21/2025)
Exams
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.
