Dominic Julio Baldini
Professional Summary
Dominic Julio Baldini is a registered financial advisor currently at EMERSON EQUITY LLC located in San Mateo, California. Dominic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Dominic has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, Series 79TO, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 24, Series 4, Series 53 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC
Contact Information
Main Address
155 Bovet Road, Suite 725, San Mateo, CA 94402Mailing Address
155 Bovet Road, Suite 725, San Mateo, CA 94402Phone Number
(650) 312-0200Established
California since 10/10/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
343SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
682AUM (Assets Under Management)
$321,704,653Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC
State Registrations and Notice Filings
(1/7/2014)
(3/5/2004)
(4/12/2004)
(4/7/2009)
(2/25/2014)
(6/2/2011)
(7/2/2007)
(11/22/2011)
(2/21/2014)
(12/11/2013)
(4/26/2006)
(4/5/2005)
(2/24/2014)
(5/6/2004)
(2/26/2014)
(1/31/2012)
(11/14/2013)
(8/6/2004)
(3/11/2019)
(5/11/2010)
(12/4/2017)
(8/13/2012)
(1/2/2019)
(4/20/2005)
(6/29/2012)
(1/20/2011)
(3/25/2005)
(4/8/2005)
(2/1/2012)
(1/4/2019)
(2/21/2014)
(7/17/2020)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jan 2000SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Dominic Julio Baldini's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dominic Julio Baldini's CRS (Customer Relationship Summary).
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