Terry T. Tang

SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES

ROLLING HILLS ESTATES, CA 90274

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CRD#: 2625824

Professional summary

Terry Tin Sing Tang, who also goes by Terry Tang, is a registered financial advisor currently at SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES located in Rolling Hills Estates, California and EMERSON EQUITY LLC located in Rolling Hills, California.

Terry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Terry has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Terry Tang

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) ACCIDENTAL & HEALTH, LIFE AND FIXED INSURANCE; INVESTMENT RELATED; AGENT SINCE 11/1999. 2) SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES. INC.; INVESTMENT RELATED,655 DEEP VALLEY DRIVE, STE 125B, ROLLING HILLS ESTATES, CA 90274, REGISTERED INVESTMENT ADVISORY FIRM, PRESIDENT, MANAGEMENT OF NEW AND EXISTING CUSTOMER ACCOUNTS, 60 HRS PER MONTH, 3 HRS DAILY DURING SECURITIES TRADING HOURS, 11/24 3) WE ARE ALL BROTHERS AND SISTERS, 501C(3) NON-PROFIT ORGANIZATION NOT INVESTMENT RELATED; 1221 W. PASEO DEL MAR, SAN PEDRO, CA 90731; FUNDRAISING FOR MEDICAL AND DENTAL MISSION TRIPS; PRESIDENT SINCE 11/2016; APPROX. 4 HOURS PER MONTH, OFF-HOURS. 4) JA USA TRADING, INC.-NOT INVESTMENT RELATED, 610 S. JEFFERSON ST., UNIT H, PLACENTIA , CA 92870, AFTERMARKET AUTOMOTIVE PARTS AND USED VEHICLE IMPORT/EXPORT, SECRETARY, I WILL BE GETTING A CA WHOLESALE AUTO RESALE LICENSE FOR BUYING/SELLING USED CARS FOR THE COMPANY AND FOR MY PERSON COLLECTION., 4 HRS PER MONTH, 0 HRS PER MONTH DURING SECURITIES TRADING HOURS, 01/2021

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Tin Sing Tang's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Terry Tin Sing Tang'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 22, 2024 - Present

SOUTHERN CALIFORNIA WEALTH MANAGEMENT ASSOCIATES

Office #1: 655 Deep Valley Dr. Suite 125b, Rolling Hills Estates, CA 90274

RIA

CRD#: 332016

ROLLING HILLS ESTATES, CA

Current

April 17, 2025 - Present

EMERSON EQUITY LLC

Office #1: 655 Deep Valley Drive Suite 1258, Rolling Hills, CA 90274

RIA

CRD#: 130032

Rolling HIlls, CA

Current

February 19, 2019 - Present

EMERSON EQUITY LLC

Office #1: 655 Deep Valley Drive Suite 1258, Rolling Hills, CA 90274

RIA

CRD#: 130032

Rolling HIlls, CA

Past

August 21, 2017 - March 6, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

San Pedro, CA

Past

August 21, 2017 - March 6, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

San Pedro, CA

Past

November 25, 2013 - August 21, 2017

FINANCIAL WEST GROUP

RIA

CRD#: 16668

Pasadena, CA

Past

November 25, 2013 - August 21, 2017

FINANCIAL WEST GROUP

CRD#: 16668

Pasadena, CA

Past

March 18, 2010 - November 26, 2013

NEWPORT COAST SECURITIES, INC.

RIA

CRD#: 16944

GLENDALE, CA

Past

March 18, 2010 - November 26, 2013

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

GLENDALE, CA

Past

January 4, 2000 - April 6, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOS ANGELES, CA

Past

November 8, 1999 - April 6, 2010

LPL FINANCIAL LLC

CRD#: 6413

LOS ANGELES, CA

Past

August 1, 1995 - November 17, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 1, 1995 - November 17, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(12/16/2024)

Arizona
(10/7/2019)

California
(2/19/2019)

IAR

California
(11/22/2024)

Connecticut
(2/19/2019)

Florida
(11/13/2023)

Hawaii
(4/25/2019)

Idaho
(2/19/2019)

Minnesota
(3/4/2019)

Missouri
(1/31/2024)

Nevada
(12/13/2022)

New Jersey
(3/6/2019)

New York
(11/12/2024)

North Carolina
(12/13/2019)

Oregon
(9/8/2023)

Texas
(4/17/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/2000

General Securities Principal 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

Terry T. Tang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Tin Sing Tang's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Terry Tin Sing Tang's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

EMERSON EQUITY LLC

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/1995

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1995

Series 24

Date: 3/16/2000

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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