MN
Matthew J. Nielsen
EMERSON EQUITY LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 2762423
MN
Professional summary
Matthew J Nielsen, who also goes by Matt Nielsen, Matthew Nielsen, is a registered financial advisor currently at EMERSON EQUITY LLC located in New York, New York.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Matthew has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Nielsen | Matthew Nielsen
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) MATTHEW NIELSEN-INVESTMENT RELATED, 80 BUCKTHORN COURT, PARAMUS, NJ 07652, PRO ATHLETE DISABILITY INSURANCE, SELF EMPLOYED-OWNER, PROVIDE PROFESSIONAL ATHLETE DISABILITY INSURANCE TO PROFESSIONAL ATHLETES, PRIMARILY THOROUGHBRED JOCKEYS, WRITE LESS THAN 10 CASES PER YEAR., 5 HRS MONTHLY, 5 HRS DURING SECURITIES TRADING HOURS, 1999 2) NIELSEN CAPITAL, INC.-NOT INVESTMENT RELATED, 80 BUCKTHORN COURT, PARAMUS, NJ 07652, CORPORATION FOR ME TO RUN MY PERSONAL AND BUSINESS EXPENSES THROUGH., OWNER, I TRACK BUSINESS INCOME AND EXPENSES FOR PERSONAL USE., 5 HRS PER MONTH, 0 HRS DURING SECURITIES TRADING HOURS., 2023 3) SILVER FLOWER STABLES LLC-NOT INVESTMENT RELATED, 80 BUCKTHRON COURT, PARAMUS, NJ 07652, BREED AND RACE THOROUGHBRED HORSES, PARTNER, CURRENTLY BREED TWO THOROUGHBRED HORSES AND DECIDE WHETHER TO RACE OR SELL THE BABIES, CURRENTLY OWN ONE 3 YEAR OLD HORSE THAT RACES., 20 HRS MONTHLY, 5 HRS DURING SECURITIES TRADING HOURS, 2023 4) EMERSON FAMILY OFFICE-INVESTMENT RELATED, 40 WALL STREET, 28TH FLOOR, NEW YORK, NY 10005, DBA MARKETING VEHICLE THROUGH WHICH SECURITIES RELATED BUSINESS IS DONE THROUGH EMERSON EQUITY LLC., TEM MEMBER, IDENTIFY AND EVALUATE INVESTMENT OPPORTUNITES IN THE BEST INTERES OF MY CLIENTS, 20 HRS MONTH, 1 HR PER DAY DURING SECURITIES TRADING HRS, 03/2025
CRS (Client Relationship Summary) - RIA
Click below to view Matthew J Nielsen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew J Nielsen'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 31, 2025 - Present
EMERSON EQUITY LLC
Office #1: 40 Wall Street 28th Floor, New York, NY 10005RIA
BD
CRD#: 130032
New York, NY
Current
March 21, 2025 - Present
EMERSON EQUITY LLC
Office #1: 40 Wall Street 28th Floor, New York, NY 10005RIA
BD
CRD#: 130032
New York, NY
Past
May 19, 2023 - March 25, 2025
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
New York, NY
Past
January 3, 2022 - March 25, 2025
KINGSWOOD WEALTH ADVISORS, LLC
RIA
CRD#: 288792
New York, NY
Past
May 21, 2020 - January 3, 2022
BENCHMARK ADVISORY SERVICES, LLC
RIA
CRD#: 305662
NEW YORK, NY
Past
May 21, 2020 - May 19, 2023
D. BORAL CAPITAL
BD
CRD#: 103792
New York, NY
Past
June 19, 2015 - May 28, 2020
STONECREST ADVISORS, INC.
RIA
CRD#: 142095
RIDGEWOOD, NJ
Past
April 17, 2015 - May 26, 2020
STONECREST CAPITAL MARKETS, INC.
BD
CRD#: 39616
RIDGEWOOD, NJ
Past
July 1, 2011 - March 17, 2015
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
RIDGEWOOD, NJ
Past
July 1, 2011 - March 17, 2015
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
NEW YORK, NY
Past
January 12, 2011 - July 5, 2011
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
RIDGEWOOD, NJ
Past
January 3, 2011 - July 5, 2011
PROSPERA FINANCIAL SERVICES, INC.
RIA
CRD#: 10740
RIDGEWOOD, NJ
Past
May 25, 2010 - December 31, 2010
PROSPERA FINANCIAL SERVICES, INC.
RIA
CRD#: 10740
RIDGEWOOD, NJ
Past
May 25, 2010 - December 31, 2010
PROSPERA FINANCIAL SERVICES, INC.
BD
CRD#: 10740
RIDGEWOOD, NJ
Past
July 27, 2006 - May 28, 2010
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
RIDGEWOOD, NJ
Past
October 24, 2005 - May 28, 2010
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
RIDGEWOOD, NJ
Past
January 10, 2005 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
Past
July 23, 2002 - April 5, 2004
NEW CENTURY FINANCIAL GROUP, LLC
RIA
CRD#: 104553
PRINCETON, NJ
Past
August 19, 1997 - January 10, 2005
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
June 27, 1996 - August 25, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
June 27, 1996 - August 25, 1997
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
Arizona(6/23/2025)
RR
California(3/21/2025)
RR
Connecticut(3/21/2025)
RR
Florida(5/22/2025)
RR
Indiana(3/21/2025)
RR
Massachusetts(5/27/2025)
RR
Nevada(9/18/2025)
RR
New Jersey(3/21/2025)
IAR
New Jersey(3/31/2025)
RR
New York(3/21/2025)
RR
Pennsylvania(3/21/2025)
RR
Tennessee(3/21/2025)
RR
Texas(3/21/2025)
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.
