TB
Tony Barouti
EMERSON EQUITY LLC
Los Angeles, CA 90049
Some features on this profile are disabled
CRD#: 3031995
TB
Professional summary
Tony Barouti, who also goes by Ahmad Agha Barouti, Ahmad Barouti, is a registered financial professional currently at EMERSON EQUITY LLC located in Los Angeles, California.
Tony is registered as a RR (Registered Representative) and started their career in finance in 1998. Tony has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ahmad Agha Barouti | Ahmad Barouti
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 Tony Barouti'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
June 13, 2017 - Present
EMERSON EQUITY LLC
Office #1: 11661 San Vicente Blvd Suite 414, Los Angeles, CA 90049RIA
BD
CRD#: 130032
Los Angeles, CA
Past
May 12, 2014 - June 5, 2017
FIRST HEARTLAND CAPITAL, INC.
BD
CRD#: 32460
Los Angeles, CA
Past
July 15, 2011 - May 21, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
LOS ANGELES, CA
Past
December 21, 2007 - July 20, 2011
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
NEW YORK, NY
Past
July 17, 2007 - December 14, 2007
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
LOS ANGELES, CA
Past
June 7, 2006 - July 17, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
NEWPORT BEACH, CA
Past
May 21, 2004 - April 27, 2005
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
March 31, 2004 - May 27, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 12, 2002 - April 5, 2004
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
July 24, 1998 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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(6/13/2017)
RR
California(6/13/2017)
RR
Georgia(12/21/2020)
RR
Kansas(3/22/2019)
Exams
State Security Law Exam
General Industry/Product 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)
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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.
