Lawrence B. Miller

EMERSON EQUITY LLC

SAN MATEO, CA 94402

Some features on this profile are disabled

CRD#: 335166

Professional summary

Lawrence Benjamin Miller, who also goes by Larry Miller, is a registered financial professional currently at EMERSON EQUITY LLC located in San Mateo, California.

Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1972. Lawrence has worked at 14 firms and has passed the SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larry Miller

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lawrence Benjamin Miller'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

October 25, 2016 - Present

EMERSON EQUITY LLC

Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402

RIA

CRD#: 130032

SAN MATEO, CA

Past

August 6, 2008 - June 12, 2012

REGENT CAPITAL GROUP, INC.

CRD#: 126881

SAN RAFAEL, CA

Past

September 9, 2003 - August 5, 2008

INVESTMENT SECURITY CORPORATION

CRD#: 47536

SAN RAFAEL, CA

Past

January 15, 2003 - June 2, 2005

JAMES HAROLD GOODE, JR.

CRD#: 16334

SAN CLEMENTE, CA

Past

April 27, 1998 - January 16, 2003

MUTUAL SECURITIES, INC.

CRD#: 13092

CAMARILLO, CA

Past

February 22, 1990 - March 30, 1998

FIRST ASSOCIATED SECURITIES GROUP, INC.

CRD#: 20597

CHICO, CA

Past

January 3, 1989 - October 10, 1989

MUTUAL SECURITIES, INC.

CRD#: 13092

CAMARILLO, CA

Past

August 5, 1982 - January 14, 1989

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

February 27, 1980 - April 21, 1982

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

July 26, 1979 - February 27, 1980

SHUMAN, AGNEW & CO., INC.

CRD#: 7468

Past

January 18, 1978 - August 30, 1979

LOEB PARTNERS

CRD#: 7534

Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

June 19, 1973 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Past

February 2, 1973 - June 8, 1973

WEIS SECURITIES, INC.

CRD#: 880

Past

October 11, 1972 - March 6, 1973

BACHE & CO INCORPORATED

CRD#: 7058

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.

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

California
(10/12/2016)

Florida
(9/6/2017)

Louisiana
(5/17/2019)

Texas
(9/15/2017)

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.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/5/1972

Registered 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lawrence B. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lawrence Benjamin Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

REGENT CAPITAL GROUP, INC.

INVESTMENT SECURITY CORPORATION

JAMES HAROLD GOODE, JR.

MUTUAL SECURITIES, INC.

FIRST ASSOCIATED SECURITIES GROUP, INC.

MUTUAL SECURITIES, INC.

FIRST AFFILIATED SECURITIES, INC.

MORGAN STANLEY & CO. LLC

SHUMAN, AGNEW & CO., INC.

LOEB PARTNERS

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

WEIS SECURITIES, INC.

BACHE & CO INCORPORATED

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 1

Date: 10/5/1972

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

Similar Advisors