TS
Toni L. Sutherland
EMERSON EQUITY LLC
Aptos, CA 95003
Some features on this profile are disabled
CRD#: 2729672
TS
Professional summary
Toni Lynn Sutherland is a registered financial advisor currently at EMERSON EQUITY LLC located in Aptos, California.
Toni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Toni has worked at 15 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) ALTA INVESTMENT GROUP; DBA; 9055 SOQUEL DR #H APTOS, CA 95003; ALTAINVESTMENTS.COM; ALTERNATIVE INVESTMENTS AND INVESTMENT ADVICE; COMPENSATION IN THE FORMS OF COMMISSION AND FEES; 30 HOURS PER WEEK DURING NORMAL TRADING HOURS. (2) WETART.ORG; 9055 SOQUEL DR #H APTOS, CA 95003; NOT INVESTMENT RELATED; NON-PROFIT RAISES FUNDS FOR LOCAL CHILDREN'S ORGANIZATIONS; WETART.ORG; DIRECTOR AND SECRETARY; NO COMPENSATION; HOURS AS NEEDED HOURS SOME MAY BE DURING NORMAL TRADING HOURS. (3) INSURANCE SALES; INSURANCE AS ESTATE PLANNING TOOL; COMMISSIONS; 1-2 HOURS PER WEEK SOME DURING NORMAL TRADING HOURS. (4) CA REAL ESTATE AGENT; 9055 SOQUEL DR #H APTOS, CA 95003; TONISUTHERLAND.COM; AGENT COMPENSATION OR REFERRAL FEE; AS NEEDED HOURS SOME MAY BE DURING NORMAL TRADING HOURS. (5) ADDICTION EDUCATION SOCIETY; ONE FRANKLIN PARKWAY BLDG 920 SAN MATEO, CA 94403; NOT INVESTMENT RELATED; NON-PROFIT; ADDICTIONEDUCATIONSOCITY.ORG; FUND RAISING/BOARD DIRECTOR; NO COMPENSATION; AS NEEDED HOURS SOME MAY BE DURING NORMAL TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Toni Lynn Sutherland's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Toni Lynn Sutherland'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 15, 2019 - Present
EMERSON EQUITY LLC
Office #1: 9055 Soquel Dr. #h, Aptos, CA 95003RIA
BD
CRD#: 130032
Aptos, CA
Current
March 14, 2019 - Present
EMERSON EQUITY LLC
Office #1: 9055 Soquel Dr. #h, Aptos, CA 95003RIA
BD
CRD#: 130032
Aptos, CA
Past
February 11, 2025 - February 18, 2025
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
APTOS, CA
Past
February 11, 2025 - February 18, 2025
REALTA EQUITIES, INC.
BD
CRD#: 23769
Aptos, CA
Past
February 6, 2015 - March 15, 2019
COLONY PARK FINANCIAL SERVICES LLC.
RIA
CRD#: 41534
APTOS, CA
Past
October 15, 2013 - December 12, 2014
SANDLAPPER WEALTH MANAGEMENT, LLC
RIA
CRD#: 164443
GREENVILLE, SC
Past
September 25, 2013 - September 26, 2013
SANDLAPPER WEALTH MANAGEMENT, LLC
RIA
CRD#: 164443
GREENVILLE, SC
Past
September 10, 2013 - March 15, 2019
SANDLAPPER SECURITIES, LLC
BD
CRD#: 137906
APTOS, CA
Past
September 18, 2006 - September 10, 2013
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
APTOS, CA
Past
September 18, 2006 - September 10, 2013
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
APTOS, CA
Past
March 7, 2003 - September 18, 2006
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
APTOS, CA
Past
March 7, 2003 - September 18, 2006
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
APTOS, CA
Past
June 11, 2002 - April 3, 2003
FOOTHILL SECURITIES, INC.
RIA
CRD#: 1027
CAPITOLA, CA
Past
June 11, 2002 - April 3, 2003
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
SANTA CLARA, CA
Past
August 2, 1999 - June 14, 2002
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CAPITOLA, CA
Past
November 21, 1998 - June 14, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 16, 1998 - November 17, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 16, 1998 - November 17, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
August 8, 1997 - November 5, 1998
MONTEREY BAY SECURITIES, INC.
BD
CRD#: 16274
APTOS, CA
Past
May 24, 1996 - March 11, 1997
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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
Alabama(5/1/2019)
RR
Arizona(4/29/2019)
RR
California(3/14/2019)
IAR
California(3/15/2019)
RR
Florida(5/21/2019)
RR
Georgia(4/29/2019)
RR
Hawaii(4/16/2019)
RR
Iowa(3/14/2019)
RR
Nevada(3/14/2019)
RR
New Hampshire(5/2/2019)
RR
New York(8/29/2021)
RR
Ohio(4/29/2019)
RR
Oregon(4/12/2022)
RR
Utah(5/13/2019)
RR
Virginia(3/14/2019)
RR
Washington(3/18/2019)
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.
