MB
Malcolm Burt
EMERSON EQUITY LLC
Las Vegas, NV 89134
Some features on this profile are disabled
CRD#: 2787119
MB
Professional summary
Malcolm Burt, who also goes by Malcolm Bruce Burt, is a registered financial professional currently at EMERSON EQUITY LLC located in Las Vegas, Nevada.
Malcolm is registered as a RR (Registered Representative) and started their career in finance in 1996. Malcolm has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Malcolm Bruce Burt
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.
CRS (Client Relationship Summary) - BD
Click below to view Malcolm Burt'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
October 24, 2019 - Present
EMERSON EQUITY LLC
Office #1: 1925 Village Center Circle Suite `150, Las Vegas, NV 89134RIA
BD
CRD#: 130032
Las Vegas, NV
Past
January 26, 2018 - February 20, 2018
EDWARD JONES
RIA
CRD#: 250
PLEASANT GROVE, UT
Past
January 26, 2018 - February 20, 2018
EDWARD JONES
BD
CRD#: 250
PLEASANT GROVE, UT
Past
January 17, 2017 - October 11, 2017
HORACE MANN INVESTORS, INC.
RIA
CRD#: 11643
SPRINGFIELD, IL
Past
December 3, 2015 - October 11, 2017
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
SPRINGFIELD, IL
Past
February 8, 2011 - October 23, 2015
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
RIA
CRD#: 5308
WEST DES MOINES, IA
Past
March 18, 2009 - October 23, 2015
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
SANDY, UT
Past
July 2, 2008 - March 4, 2009
WEDBUSH SECURITIES INC.
RIA
CRD#: 877
PROVO, UT
Past
January 16, 2004 - March 4, 2009
WEDBUSH SECURITIES INC.
BD
CRD#: 877
PROVO, UT
Past
April 22, 1997 - January 26, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PROVO, UT
Past
October 2, 1996 - January 26, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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.
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(11/8/2019)
RR
California(10/28/2019)
RR
Nevada(10/31/2019)
RR
Utah(10/28/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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)
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.
