Vance M. Boucher

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CRD#: 2406602

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.

Vance Martin Boucher was a registered financial professional .

Vance is a previously registered financial professional and started their career in finance in 1993. Vance had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6, Series 9, Series 10 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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. INSURANCE SALES AT BRANCH LOCATION; INVESTMENT-RELATED 2. HARDWORKING CAPITAL; PRESIDENT 100% OWNER CREATED FOR SECURITIES BUSINESS, AT BRANCH LOCATION, INVESTMENT RELATED. 3. BACK NINE GREENS CONSULTANT. 4. JOHN F. KENNEDY MEMORIAL FOUNDATION, INC. BOARD OF DIRECTORS. 5. RIA THROUGH HARDWORKING CAPITAL ADVISORS. 6. Equine Voices Advisory Group, Advisory group member of this non-profit, 5% time 0% ownership. 6. Emerson Equity LLC, registered broker-dealer, investment related, registered representative since 05/2019, approximately 2 hours/month, all during securities trading hours, servicing securities and variable annuities.

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

May 10, 2019 - August 19, 2021

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

November 1, 2017 - April 15, 2019

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PALM DESERT, CA

Past

August 6, 2015 - December 9, 2024

HARDWORKING CAPITAL ADVISORS, LLC

RIA

CRD#: 226760

PALM DESERT, CA

Past

January 30, 2014 - September 15, 2015

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

PALM DESERT, CA

Past

January 30, 2014 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

PALM DESERT, CA

Past

April 17, 2003 - January 31, 2014

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

PALM DESERT, CA

Past

April 17, 2003 - January 31, 2014

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

PALM DESERT, CA

Past

November 22, 2002 - April 25, 2003

QUICK & REILLY, INC.

RIA

CRD#: 11217

PALM DESERT, CA

Past

March 22, 2001 - April 25, 2003

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

February 10, 2000 - March 14, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 27, 1997 - June 21, 1999

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

November 10, 1993 - August 25, 1997

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.

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 66

Date: 4/14/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/17/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/3/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/30/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/25/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 4/12/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 26

Date: 4/28/2000

Investment Company Products/Variable Contracts 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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Advisor Monitoring

Firm Stability Insights

Vance M. Boucher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

HARDWORKING CAPITAL ADVISORS, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

QUICK & REILLY, INC.

QUICK & REILLY, INC.

PRUCO SECURITIES, LLC.

LOCUST STREET SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/14/2000

Series 63

Date: 11/17/1993

SIE

Date: 10/1/2018

Series 31

Date: 8/3/2007

Series 7

Date: 3/30/2000

Series 6

Date: 10/20/1993

Series 9

Date: 4/25/2001

Series 10

Date: 4/12/2001

Series 26

Date: 4/28/2000

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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