EB
Erick Baer
EMERSON EQUITY LLC
Redondo Beach, CA
Some features on this profile are disabled
CRD#: 2647074
EB
Professional summary
Erick Baer is a registered financial advisor currently at EMERSON EQUITY LLC located in Redondo Beach, California.
Erick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Erick has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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)- BULLISH BAER-INVESTMENT RELATED, 633 S GERTRUDE AVE. REDONDO BEACH, CA 90277-DBA VIA WHICH SECURITITES ARE OFFERED THROUGH EMERSON EQUITY LLC AND FIXED INSURANCE PRODUCTS ARE MARKETED. OWNER OF DBA, AGENT FOR FIXED INSURANCE, ASSIST CLIENTS IN PROTECTING ASSETS, PROVIDE INCOME, HELP LEAVE A LEGACY, I HELP CLARIFY FINANCIAL INVESTMENTS BY IMPLEMENTING DISCIPLINED STRATEGIES BACKED BY INDEPENDENT RESEARCH, 65 HRS A MONTH, 55 HRS A MONTH DURING SECURITIES TRADING HOURS, 08/2010
CRS (Client Relationship Summary) - RIA
Click below to view Erick Baer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erick Baer'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
March 21, 2018 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
Redondo Beach, CA
Current
March 21, 2018 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
September 23, 2015 - December 5, 2016
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
THOUSAND OAKS, CA
Past
September 23, 2015 - December 5, 2016
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
THOUSAND OAKS, CA
Past
June 2, 2011 - September 23, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
THOUSAND OAK, CA
Past
June 2, 2011 - September 23, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
THOUSAND OAKS, CA
Past
March 17, 2011 - July 13, 2011
PLANNED ASSET MANAGEMENT
RIA
CRD#: 105986
CALABASAS, CA
Past
May 3, 2010 - June 1, 2011
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
CALABASAS, CA
Past
May 3, 2010 - June 1, 2011
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
CALABASAS, CA
Past
June 1, 2005 - April 29, 2010
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
CALABASAS, CA
Past
May 31, 2005 - April 29, 2010
AFA ADVISOR SERVICES LLC
RIA
CRD#: 129104
THOUSAND OAKS, CA
Past
January 20, 2005 - June 22, 2005
WORTHMARK FINANCIAL SERVICES, LLC
RIA
CRD#: 47086
ST. PAUL, MN
Past
March 17, 2004 - June 22, 2005
WORTHMARK FINANCIAL SERVICES, LLC
BD
CRD#: 47086
ST. PAUL, MN
Past
January 21, 2003 - March 16, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
October 8, 2001 - December 20, 2002
PROFESSIONAL INVESTMENT SERVICES, INC.
BD
CRD#: 13703
WINFIELD, KS
Past
December 2, 1998 - April 17, 2001
PROFESSIONAL INVESTMENT SERVICES, INC.
BD
CRD#: 13703
WINFIELD, KS
Past
April 3, 1997 - December 31, 1997
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
September 20, 1995 - October 10, 1996
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(3/21/2018)
IAR
California(3/21/2018)
RR
Nevada(3/10/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
