AR
Andrew T. Roberson
EMERSON EQUITY LLC
Walnut Creek, CA
Some features on this profile are disabled
CRD#: 4143407
AR
Professional summary
Andrew Thomas Roberson, CFP®, who also goes by Andy Roberson, is a registered financial advisor currently at EMERSON EQUITY LLC located in Walnut Creek, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Andrew has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Roberson
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) INSURANCE BROKERAGE VIA TARKENTON FINANCIAL-INVESTMENT RELATED, 3340 PEACHTREE RD, NE STE 2300 ATLANTA, GA 30326, INSURANCE BROKERAGE, FIXED ANNUITIES, LIFE, DISABILITY AND LONG TERM CARE, BROKER, SALES OF FIXED INSURANCE AND FIXED ANNUITIES, 15 HRS PER MONTH, 0 HRS DURING SECURITIES TRADING HOURS, 07/2025 2) DIAMOND MOUNTAIN FINANCIAL, LLC (DBA)-INVESTMENT RELATED, 8351 PINOT GRIGIO ST. ROSEVILLE, CA 95747, DBA-MARKETING VEHICLE THROUGH WHICH INVESTMENT RELATED BUSINESS IS DONE THROUGH EMERSON EQUITY LLC., FOUNDER AND PRINCIPAL, ORGANIZING BUSINESS INCOME AND EXPENSES DERIVED FROM EMERSON EQUITY COMPENSATION, 160 HRS MONTH., 6.5 HRS DURING SECURITIES TRADING HOURS, 07/2025
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Thomas Roberson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Thomas Roberson'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®
CFP®
Start date: 2008
Experience
Current
August 11, 2025 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
Walnut Creek, CA
Current
August 14, 2025 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #2: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
May 4, 2018 - July 18, 2025
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
SAN RAMON, CA
Past
April 30, 2018 - July 18, 2025
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
SAN RAMON, CA
Past
June 25, 2010 - May 16, 2018
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
SAN MATEO, CA
Past
June 24, 2010 - May 16, 2018
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
SAN MATEO, CA
Past
January 27, 2005 - June 9, 2010
OSAIC FA, INC.
RIA
CRD#: 3978
CAMPBELL, CA
Past
January 14, 2005 - May 19, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 14, 2005 - June 9, 2010
OSAIC FA, INC.
BD
CRD#: 3978
CAMPBELL, 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(9/22/2025)
IAR
California(8/11/2025)
RR
California(8/14/2025)
RR
Idaho(8/20/2025)
RR
Illinois(9/12/2025)
RR
Minnesota(8/21/2025)
RR
Nevada(8/14/2025)
IAR
Ohio(9/9/2025)
RR
Pennsylvania(8/14/2025)
RR
Texas(10/2/2025)
Exams
State Security Law 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.
