Thomas G. Justice

EMERSON EQUITY LLC

SAN MATEO, CA 94402

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CRD#: 2786145

Professional summary

Thomas Gary Justice is a registered financial professional currently at EMERSON EQUITY LLC located in San Mateo, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 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) - BD

Click below to view Thomas Gary Justice'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 19, 2020 - Present

EMERSON EQUITY LLC

Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #2: 155 Bovet Road, Suite 725, San Mateo, CA 94402

RIA

CRD#: 130032

SAN MATEO, CA

Past

March 26, 2018 - November 19, 2020

CONOVER CAPITAL MANAGEMENT

RIA

CRD#: 118393

BELLEVUE, WA

Past

January 24, 2017 - December 31, 2017

CONOVER CAPITAL MANAGEMENT

RIA

CRD#: 118393

BELLEVUE, WA

Past

October 5, 2015 - December 31, 2016

CONOVER CAPITAL MANAGEMENT

RIA

CRD#: 118393

BELLEVUE, WA

Past

January 11, 2010 - August 15, 2015

CONOVER CAPITAL MANAGEMENT

RIA

CRD#: 118393

BELLEVUE, WA

Past

October 5, 2009 - November 19, 2020

CONOVER SECURITIES CORPORATION

CRD#: 17129

BELLEVUE, WA

Past

September 17, 2009 - November 19, 2020

CONOVER SECURITIES CORPORATION

RIA

CRD#: 17129

BELLEVUE, WA

Past

January 29, 2009 - October 6, 2009

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

RENTON, WA

Past

December 15, 2008 - October 6, 2009

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

KIRKLAND, WA

Past

February 28, 2001 - December 15, 2008

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

KIRKLAND, WA

Past

July 10, 2000 - February 16, 2001

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

October 14, 1999 - July 10, 2000

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

PORTLAND, OR

Past

March 19, 1998 - November 1, 1999

PACIFIC HARBOR SECURITIES, INC.

CRD#: 8755

HIGHLAND, UT

Past

April 29, 1997 - December 31, 1997

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

September 6, 1996 - March 23, 1998

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

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.

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

Utah
(11/23/2020)

Washington
(11/19/2020)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/28/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/13/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/4/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/2001

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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Firm Stability Insights

Thomas G. Justice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gary Justice's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONOVER CAPITAL MANAGEMENT

CONOVER CAPITAL MANAGEMENT

CONOVER CAPITAL MANAGEMENT

CONOVER CAPITAL MANAGEMENT

CONOVER SECURITIES CORPORATION

CONOVER SECURITIES CORPORATION

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

PRIVATE CONSULTING GROUP, INC.

KESTRA INVESTMENT SERVICES, LLC

PRIVATE CONSULTING GROUP, INC.

PACIFIC HARBOR SECURITIES, INC.

MUTUAL SERVICE CORPORATION

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/28/2009

Series 65

Date: 12/6/1999

Series 63

Date: 9/5/1996

SIE

Date: 10/1/2018

Series 7

Date: 2/13/2001

Series 6

Date: 9/4/1996

Series 24

Date: 4/9/2001

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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