Matthew A. Luciano

Some features on this profile are disabled

CRD#: 2645314

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.

Matthew Anthony Luciano was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 1995. Matthew had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 28 and Series 24 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)

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

December 14, 2017 - July 23, 2018

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

September 22, 2017 - November 2, 2017

PALM BEACH SECURITIES, LLC

CRD#: 163155

NORTH PALM BEACH, FL

Past

February 16, 2017 - July 27, 2017

BRISTOL INVESTMENT GROUP, INC.

CRD#: 39684

NEW YORK, NY

Past

March 9, 2016 - December 27, 2016

EMERSON EQUITY LLC

CRD#: 130032

West Palm Beach, FL

Past

November 16, 2015 - December 31, 2017

KINGSCOTE CAPITAL LLC

RIA

CRD#: 173520

WEST PALM BEACH, FL

Past

December 9, 2014 - December 22, 2015

OPES BESPOKE SECURITIES LLC

CRD#: 129841

NEW YORK, NY

Past

March 29, 2012 - September 30, 2014

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

July 2, 2009 - January 30, 2012

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEW YORK, NY

Past

May 8, 2009 - June 12, 2009

ESPOSITO SECURITIES, LLC

CRD#: 143710

DALLAS, TX

Past

November 17, 2008 - May 6, 2009

KABRIK TRADING LLC

CRD#: 104460

NEW YORK, NY

Past

February 2, 2007 - May 18, 2007

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

NEW YORK, NY

Past

November 5, 1996 - November 12, 1997

TRADE.COM ONLINE SECURITIES, INC.

CRD#: 36189

NEW YORK, NY

Past

April 25, 1996 - November 26, 1996

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

Past

September 19, 1995 - May 6, 1996

GMS GROUP

CRD#: 8000

EAST HANOVER, 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: 7/7/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/1/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/31/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 5/5/2014

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/2013

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew A. Luciano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PALM BEACH SECURITIES, LLC

BRISTOL INVESTMENT GROUP, INC.

EMERSON EQUITY LLC

KINGSCOTE CAPITAL LLC

OPES BESPOKE SECURITIES LLC

WINDSOR STREET CAPITAL, LP

DINOSAUR FINANCIAL GROUP, L.L.C

ESPOSITO SECURITIES, LLC

KABRIK TRADING LLC

JESUP & LAMONT SECURITIES CORP

TRADE.COM ONLINE SECURITIES, INC.

UST FINANCIAL SERVICES CORP.

GMS GROUP

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/7/2014

Series 63

Date: 5/1/2009

SIE

Date: 7/23/2018

Series 7

Date: 1/31/2007

Series 28

Date: 5/5/2014

Series 24

Date: 5/21/2013

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

Similar Advisors