ER
Ethan Russman
EMERSON EQUITY LLC
SCOTTSDALE, AZ
Some features on this profile are disabled
CRD#: 4228081
ER
Professional summary
Ethan Russman, CFP® is a registered financial advisor currently at EMERSON EQUITY LLC located in Scottsdale, Arizona.
Ethan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Ethan has worked at 5 firms and has passed the Series 63, Series 79TO, Series 7 and Series 24 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)- CARLTEON CAPITAL GROUP, LLC-INVESTMENT RELATED- 19475 N GRAYHAWK DRIVE, UNIT 2071, SCOTTSDALE AZ 85255-MANAGER OF TWO REG D RULE 506(b) FUNDS, CARLETON CAPITAL FUND I & FUND II-AS MANAGING MEMBER I SEND QUARTERLY EMAILS AND SEND OUT QUARTERLY DISTRIBUTIONS, ASSIST WITH THE DISSEMINATION FOR THE ANNUAL SCHEDULE K-1 TAX FORM; 01/2018, NO HOURS DURING SECURITIES TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Ethan Russman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ethan Russman'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®
Experience
Current
September 23, 2022 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
SCOTTSDALE, AZ
Current
December 7, 2021 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
June 22, 2017 - December 12, 2017
TMD & ASSOCIATES, INC.
RIA
CRD#: 113896
SCOTTSDALE, AZ
Past
October 4, 2016 - February 27, 2017
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
PHOENIX, AZ
Past
September 23, 2016 - February 27, 2017
FSC SECURITIES CORPORATION
BD
CRD#: 7461
PHOENIX, AZ
Past
October 16, 2015 - September 23, 2016
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
PITTSBURGH, PA
Past
January 18, 2007 - September 1, 2015
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
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(12/9/2021)
IAR
Arizona(9/23/2022)
RR
California(12/6/2024)
RR
Florida(1/17/2023)
RR
Nevada(4/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 10/25/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product 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.
