Adam R. Van Dyke

EMERSON EQUITY LLC

Franklin, TN

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CRD#: 3008054

Professional summary

Adam Roy Van Dyke, who also goes by Adam Roy Vandyke, is a registered financial advisor currently at EMERSON EQUITY LLC located in Franklin, Tennessee.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Adam has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Roy Vandyke

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)-RICHER EXPERIENCE (DBA) INVESTMENT RELATED-109 TREEMONT LANE FRANKLIN, TN 37069-MARKETING VEHICLE THROUGH WHICH INVESTMENT RELATED BUSINESS IS DONE WITH EMERSON EQUITY, SOLE PROPRIETOR, MAINTAINING WEBSITE, ADVERTISING CAMPAIGNS AND OTHER PROMOTIONAL EFFORTS, 30 PER HOURS PER WEEK DURING SECURITIES TRADING HOURS, 08/05 2)- RENTAL REAL ESTATE PROPERTY OWNERSHIP VANDYKE COMPANIES-INVESTMENT RELATED, 109 TREEMONT LANE, FRANKLIN, TN 37069; MULTIPLE REAL ESTATE PROPERTIES FOR INCOME PURPOSES SOLE PROPRIETOR OF VAN DYKE COMPANIES, MAINTENANCE OF RENTAL PROPERTIES, COLLECTING RENTS FROM TENANTS, 0 HOURS DURING SECURITIES TRADING HOURS,01/2001 3)-FIXED INSURANCE PRODUCT SALES-INVESTMENT RELATED-109 TREEMONT LANE FRANKLIN, TN 37069-TERM AND WHOLE LIFE INSURANCE, FIXED ANNUITIES, LONG TERM CARE, DISABILITY INCOME INSURANCE PRODUCTS, HEALTH INSURANCE, ETC. LICENSED LIFE AND HEALTH INSURANCE PRODUCER., ASSIST PROSPECTS AND CLIENTS WITH EDUCATION ABOUT VARIOUS PROTECTION PLANNING STRATEGIES AND PRODUCTS AVAILABLE, IMPLEMENT THE COVERAGE AS NEEDED OR REQUESTED FOR THEIR FAMILIES, 0 HOURS DURING SECURITIES TRADING HOURS, 4/98 4)- PAR GOLF-TN-NOT INVESTMENT RELATED, 5111 PETER TAYLOR PARK DRIVE, STE 300 BRENTWOOD, TN 37027-INDOOR GOLF SIMULATOR BUSINESS AND TRAINING FACILITY, PARTNER (2 PERSON K-1 PARTNERSHIP) HANDLE OPERATIONS INCLUDING ADVERTISING, SALES AND USE TAX PAYMENT FILING, ETC., 0 HOURS DURING SECURITIES TRADING HOURS, 07/21

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Roy Van Dyke's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Adam Roy Van Dyke'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

January 4, 2023 - Present

EMERSON EQUITY LLC

RIA

CRD#: 130032

Franklin, TN

Current

January 3, 2023 - Present

EMERSON EQUITY LLC

RIA

CRD#: 130032

Franklin, TN

Past

June 9, 2021 - December 31, 2022

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

HUNTINGTON BEACH, CA

Past

June 9, 2021 - December 31, 2022

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HUNTINGTON BEACH, CA

Past

July 15, 2013 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

NASHVILLE, TN

Past

June 28, 2013 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

NASHVILLE, TN

Past

August 2, 2005 - June 28, 2013

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

HUNTINGTON BEACH, CA

Past

August 2, 2005 - June 28, 2013

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

HUNTINGTON BEACH, CA

Past

February 26, 2001 - August 2, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

IRVINE, CA

Past

April 2, 1998 - August 2, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 2, 1998 - August 2, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(1/3/2023)

Arizona
(1/3/2023)

California
(1/3/2023)

IAR

California
(1/4/2023)

Connecticut
(7/8/2025)

Florida
(1/3/2023)

Hawaii
(1/3/2023)

Illinois
(6/12/2023)

Kentucky
(1/3/2023)

Massachusetts
(1/3/2023)

Michigan
(2/7/2023)

Nevada
(1/3/2023)

New York
(1/3/2023)

Pennsylvania
(1/3/2023)

South Carolina
(1/3/2023)

Tennessee
(1/3/2023)

Texas
(5/9/2023)

Virginia
(1/3/2023)

Washington
(2/7/2023)

Wisconsin
(1/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/21/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/3/1998

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: 4/1/1998

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Adam R. Van Dyke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Roy Van Dyke's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Adam Roy Van Dyke's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2001

Series 63

Date: 4/3/1998

SIE

Date: 10/1/2018

Series 7

Date: 4/1/1998

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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