DB
Dominic J. Baldini
EMERSON EQUITY LLC
SAN MATEO, CA 94402
Some features on this profile are disabled
CRD#: 3082081
DB
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 Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1)-OCEANIC PARTNERS, INC., NOT INVESTMENT RELATED; 3030 BRIDGEWAY, SUITE 120; SAUSALITO, CA 94965; ADVISOR; 04/2017; HOURS/MONTH: ~2; HRS; HOURS/MONTH SECURITIES TRADING HOURS: 0; DUTIES INVOLVE ON GENERAL CORPORATE MATTERS. 2)- DJB COASTAL LLC-NOT INVESTMENT RELATED; 155 BOVET ROAD SUITE 725, SAN MATEO, CA 94402; LLC CREATED FOR ESTATE PLANNING PURPOSES; MANAGING MEMBER; MANAGE AFFAIRS FOR THE LLC; ZERO HOURS DURING SECURITIES TRADING HOURS; 05/2022 3)- STICK, INC. NOT INVESTMENT RELATED, 155 BOVET ROAD STE 725 SAN MATEO, CA 94402, CLOTHING, CEO, DESIGN, MARKETING, BUSINESS STRATEGY, 15 HOURS MONTHLY AND ZERO HOURS DURING SECURITIES TRADING HOURS, 07/2023 4) GFB CLOTHING, NOT INVESTMENT RELATED, 155 BOVET ROAD, STE 725, SAN MATEO, CA 94402, CLOTHING COMPANY, CEO, DESIGN, MARKETING, BUSINESS STRATEGY, 15 HRS A MONTH, 0 HRS DURING SECURITIES TRADING HOURS, 02/2024
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).
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
March 5, 2004 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Current
April 12, 2004 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
June 16, 2011 - January 4, 2016
FORGE SECURITIES LLC
BD
CRD#: 134596
San Francisco, CA
Past
May 30, 2001 - April 26, 2004
PACIFIC COAST SECURITIES LLC
BD
CRD#: 109681
ASTORIA, NY
Past
March 11, 1999 - February 1, 2001
GOLDEN TRIANGLE SECURITIES LLC
BD
CRD#: 45641
CARMEL, CA
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(1/7/2014)
IAR
California(3/5/2004)
RR
California(4/12/2004)
RR
Colorado(4/7/2009)
RR
Florida(2/25/2014)
RR
Georgia(6/2/2011)
RR
Hawaii(7/2/2007)
RR
Idaho(11/22/2011)
RR
Illinois(2/21/2014)
RR
Indiana(12/11/2013)
RR
Louisiana(4/26/2006)
RR
Maryland(4/5/2005)
RR
Massachusetts(2/24/2014)
RR
Nevada(5/6/2004)
RR
New Hampshire(2/26/2014)
RR
New Jersey(1/31/2012)
RR
New Mexico(11/14/2013)
RR
New York(8/6/2004)
RR
North Carolina(3/11/2019)
RR
Ohio(5/11/2010)
RR
Oklahoma(12/4/2017)
RR
Oregon(8/13/2012)
RR
South Carolina(1/2/2019)
RR
Texas(4/20/2005)
IAR
Texas(6/29/2012)
RR
Utah(1/20/2011)
RR
Virginia(3/25/2005)
IAR
Virginia(4/8/2005)
RR
Washington(2/1/2012)
RR
West Virginia(1/4/2019)
RR
Wisconsin(2/21/2014)
IAR
Wisconsin(7/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/10/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
