PP
Peter T. Po
EMERSON EQUITY LLC
Cupertino, CA 95014
Some features on this profile are disabled
CRD#: 3106974
PP
Professional summary
Peter T Po, who also goes by Peter Po, Tinchu Peter Po, is a registered financial advisor currently at EMERSON EQUITY LLC located in Cupertino, California.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Peter has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Po | Tinchu Peter Po
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)PETER PO INSURANCE SERVICES. INVESTMENT RELATED. 20370 TOWN CENTER LANE #120 CUPERTINO, CA 95014. ANNUITIES, LIFE & HEALTH INSURANCE. AGENT/OWNER, 20 HOURS/MONTH 30 MINUTES/WEEKLY DURING SECURITIES TRADING HOURS. SALES & MANAGEMENT. 08/1998
CRS (Client Relationship Summary) - RIA
Click below to view Peter T Po's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter T Po'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
May 14, 2024 - Present
EMERSON EQUITY LLC
Office #1: 20370 Town Center Lane #120, Cupertino, CA 95014RIA
BD
CRD#: 130032
Cupertino, CA
Current
May 3, 2024 - Present
EMERSON EQUITY LLC
Office #1: 20370 Town Center Lane #120, Cupertino, CA 95014RIA
BD
CRD#: 130032
Cupertino, CA
Past
August 21, 2015 - May 16, 2024
NI ADVISORS
RIA
CRD#: 134502
Cupertino, CA
Past
August 19, 2015 - May 16, 2024
NI ADVISORS
BD
CRD#: 134502
Cupertino, CA
Past
October 15, 2007 - August 12, 2015
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
CUPERTINO, CA
Past
September 19, 2007 - August 12, 2015
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
CUPERTINO, CA
Past
September 16, 2004 - October 1, 2007
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
FOSTER CITY, CA
Past
September 3, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
FOSTER CITY, CA
Past
September 3, 2004 - October 1, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
FOSTER CITY, CA
Past
December 18, 2002 - August 5, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
March 23, 2001 - August 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CUPERTINO, CA
Past
March 5, 2001 - August 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 17, 2000 - February 9, 2001
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
September 17, 1998 - February 16, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
California(5/14/2024)
IAR
California(5/14/2024)
RR
Nevada(5/15/2024)
RR
New Mexico(5/21/2024)
RR
Texas(8/3/2024)
RR
Washington(9/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
