Eric S. Swift

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CRD#: 2843644

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Eric Scott Swift was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 1997. Eric had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 5, 2019 - October 31, 2019

EMERSON EQUITY LLC

RIA

CRD#: 130032

ASHAWAY, RI

Past

February 4, 2019 - October 31, 2019

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

January 23, 2017 - January 31, 2018

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MONTOURSVILLE, PA

Past

January 20, 2017 - January 31, 2018

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

November 2, 2015 - September 28, 2016

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

Wakefield, RI

Past

November 2, 2015 - September 28, 2016

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

SAN ANTONIO, TX

Past

January 4, 2008 - October 30, 2015

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

SOMERSET, PA

Past

January 4, 2008 - October 30, 2015

OSAIC INSTITUTIONS, INC.

CRD#: 35371

SOMERSET, PA

Past

October 10, 2006 - December 5, 2007

IFMG SECURITIES, INC.

CRD#: 14416

YORK, PA

Past

May 17, 2006 - September 27, 2006

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

MONTOURSVILLE, PA

Past

August 26, 2005 - May 5, 2006

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ST. CLOUD, MN

Past

November 30, 2004 - May 5, 2006

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

November 15, 2002 - December 3, 2004

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

December 5, 2001 - November 14, 2002

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

October 28, 1998 - December 5, 2001

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

February 6, 1997 - October 26, 1998

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 10/30/2000

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/18/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 1/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/5/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/21/2000

General Securities Principal Examination

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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Advisor Monitoring

Firm Stability Insights

Eric S. Swift

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMERSON EQUITY LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

IFMG SECURITIES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

INVEST FINANCIAL CORPORATION

BNY MELLON SECURITIES LLC

CONSECO SECURITIES, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/30/2000

Series 65

Date: 2/18/1997

SIE

Date: 1/31/2018

Series 7

Date: 2/5/1997

Series 24

Date: 8/21/2000

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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