Craig A. Cooper

EMERSON EQUITY LLC

Newport Beach, CA 94402

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CRD#: 2553463

Professional summary

Craig Allen Cooper is a registered financial professional currently at EMERSON EQUITY LLC located in Newport Beach, California.

Craig is registered as a RR (Registered Representative) and started their career in finance in 1995. Craig has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Craig Allen Cooper'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

July 15, 2021 - Present

EMERSON EQUITY LLC

Office #1: 3 Corporate Plaza Drive Suite 101, Newport Beach, CA 94402

RIA

CRD#: 130032

Newport Beach, CA

Past

February 19, 2021 - June 23, 2021

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

NEWPORT BEACH, CA

Past

January 21, 2020 - March 9, 2021

CABOT LODGE SECURITIES LLC

CRD#: 159712

Newport Beach, CA

Past

July 3, 2019 - January 8, 2020

EMERSON EQUITY LLC

CRD#: 130032

NEWPORT BEACH, CA

Past

December 14, 2017 - July 5, 2019

CAPULENT LLC

CRD#: 155155

Newport Beach, CA

Past

October 26, 2015 - December 19, 2017

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

April 30, 2013 - January 31, 2014

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

SAN DIEGO, CA

Past

March 8, 2011 - August 17, 2012

VERTICAL CAPITAL SECURITIES, LLC

CRD#: 154697

IRVINE, CA

Past

October 15, 2010 - April 1, 2011

CABIN SECURITIES, INC.

CRD#: 137608

IRVINE, CA

Past

February 4, 2010 - July 22, 2010

PACIFIC POINT SECURITIES, LLC

CRD#: 150272

ANAHEIM, CA

Past

January 22, 2009 - November 2, 2009

SUMMIT CAPITAL PARTNERS, LLC

CRD#: 129495

AUSTIN, TX

Past

July 17, 2007 - January 5, 2009

STIRA CAPITAL MARKETS GROUP, LLC

CRD#: 141277

NEWPORT BEACH, CA

Past

June 29, 2005 - April 19, 2007

DBSI SECURITIES CORPORATION

CRD#: 11687

MERIDIAN, ID

Past

December 10, 2003 - September 29, 2005

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 125953

LA JOLLA, CA

Past

December 10, 2003 - June 24, 2005

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

July 27, 2000 - December 16, 2003

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

SAN DIEGO, CA

Past

January 1, 1996 - December 16, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

March 3, 1995 - December 6, 1995

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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

California
(7/15/2021)

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: 7/6/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/1994

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: 3/2/1995

General Securities 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 (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

Craig A. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Craig Allen Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERNATIONAL ASSETS ADVISORY, LLC

CABOT LODGE SECURITIES LLC

EMERSON EQUITY LLC

CAPULENT LLC

INDEPENDENT FINANCIAL GROUP, LLC

CONCORDE INVESTMENT SERVICES, LLC

VERTICAL CAPITAL SECURITIES, LLC

CABIN SECURITIES, INC.

PACIFIC POINT SECURITIES, LLC

SUMMIT CAPITAL PARTNERS, LLC

STIRA CAPITAL MARKETS GROUP, LLC

DBSI SECURITIES CORPORATION

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2000

Series 63

Date: 12/29/1994

SIE

Date: 10/1/2018

Series 7

Date: 3/2/1995

FINRA

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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