CM
Christopher T. Miller
EMERSON EQUITY LLC
Tustin, CA 92780
Some features on this profile are disabled
CRD#: 4044818
CM
Professional summary
Christopher Thomas Miller is a registered financial advisor currently at EMERSON EQUITY LLC located in Tustin, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31 and Series 7 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) BETTER APARTMENTS, LLC - OWN AND MANAGE PERSONAL INVESTMENT REAL ESTATE HOLDINGS. 8 HRS A MONTH, 4 HRS A MONTH DURING SECURITIES TRADING HOURS. PROPERTIES LOCATED IN SOUTHERN CALIFORNIA. NON-SECURITIES RELATED. 02/2019 2) SPECIALIZED WEALTH MANAGEMENT. LOCATED IN TUSTIN, CA. DBA FOR SECURITIES-RELATED BUSINESS. APPROX. 160 HOURS/MONTH DURING TRADING HOURS. STARTED 02/2009. 3)- PLEASANT APARTMENT PROVIDER LLC-INVESTMENT RELATED; 6528 GREENLEAF AVE #105 WHITTIER, CA 90601-PERSONAL AND INVESTMENT REAL ESTATE HOLDINGS; PRESIDENT, OWN AND MANAGE PERSONAL INVESTMENT REAL ESTATE HOLDINGS; 8 HRS A MONTH, 4 HRS A MONTH DURING SECURITIES TRADING HOURS; 08/2022 4) CHARMING ORANGE COUNTY HOMES, LLC-INVESTMENT RELATED, 6528 GREENLEAF AVE., STE 105, WHITTIER, CA 90601, PRESIDENT, MANAGE RENTAL REAL ESTATE PROPERTIES, 8 HRS A MONTH, 4 HRS A MONTH DURING SECURITIES TRADING HRS, 04/2023 5) BRIGHTPOINT REALTY GROUP-I AM A SALES AGENT OF THIS BUSINESS- INVESTMENT RELATED, 731 CONTESSA IRVINE, CA 92620, SALES AGENT, ACT AS A REAL ESTATE AGENT TO LIST PROPERTIES FOR SALE, 4 HRS A MONTH AND 4 HRS A MONTH DURING SECURITIES TRADING HOURS, 2/2021
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Thomas Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Thomas Miller'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 20, 2019 - Present
EMERSON EQUITY LLC
Office #1: 2522 Chambers Road Suite 100, Tustin, CA 92780RIA
BD
CRD#: 130032
Tustin, CA
Current
March 20, 2019 - Present
EMERSON EQUITY LLC
Office #1: 2522 Chambers Road Suite 100, Tustin, CA 92780RIA
BD
CRD#: 130032
Tustin, CA
Past
February 6, 2015 - March 21, 2019
COLONY PARK FINANCIAL SERVICES LLC.
RIA
CRD#: 41534
TUSTIN, CA
Past
June 27, 2013 - December 1, 2014
SANDLAPPER WEALTH MANAGEMENT, LLC
RIA
CRD#: 164443
GREENVILLE, SC
Past
February 2, 2012 - March 21, 2019
SANDLAPPER SECURITIES, LLC
BD
CRD#: 137906
TUSTIN, CA
Past
February 22, 2011 - February 2, 2012
ALLIED BEACON PARTNERS, INC.
BD
CRD#: 46227
TUSTIN, CA
Past
June 21, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
BD
CRD#: 15791
EAU CLAIRE, WI
Past
June 4, 2009 - April 27, 2010
PRIVATE ASSET GROUP, INC.
BD
CRD#: 142541
TUSTIN, CA
Past
February 20, 2009 - June 4, 2009
FINANCIAL ADVISERS OF AMERICA, LLC
BD
CRD#: 142170
TUSTIN, CA
Past
June 13, 2008 - February 23, 2009
GIRARD SECURITIES, INC.
BD
CRD#: 18697
TUSTIN, CA
Past
May 7, 2007 - July 24, 2008
MIDPOINT FINANCIAL SERVICES, INC.
BD
CRD#: 131784
TUSTIN, CA
Past
January 26, 2004 - May 23, 2007
MCL FINANCIAL GROUP, INC.
BD
CRD#: 41180
SANTA ANA, CA
Past
January 10, 2003 - October 4, 2003
GRUBB & ELLIS SECURITIES, INC.
BD
CRD#: 17932
SANTA ANA, CA
Past
January 2, 2000 - April 10, 2001
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
Arizona(3/20/2019)
RR
California(3/20/2019)
IAR
California(3/20/2019)
RR
Colorado(5/9/2019)
RR
Florida(3/25/2019)
RR
Idaho(1/28/2025)
RR
Illinois(6/2/2020)
RR
Maryland(3/20/2019)
RR
Nevada(3/20/2019)
RR
New York(3/20/2019)
RR
North Carolina(8/18/2022)
RR
Oregon(3/20/2019)
RR
South Carolina(8/17/2021)
RR
Texas(3/25/2019)
RR
Virginia(4/22/2021)
RR
Washington(3/20/2019)
RR
West Virginia(2/10/2022)
RR
Wisconsin(8/18/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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)
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)
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.
