EC
Ernesto A. Chavez
EMERSON EQUITY LLC
Nogales, AZ 85621
Some features on this profile are disabled
CRD#: 4315877
EC
Professional summary
Ernesto A. Chavez Jr., who also goes by Ernesto A Chavez Jr., Ernesto Chavez, is a registered financial advisor currently at EMERSON EQUITY LLC located in Nogales, Arizona.
Ernesto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Ernesto has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ernesto A Chavez Jr. | Ernesto Chavez
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)ERNESTO A. CHAVEZ, CPA-NOT INVESTMENT RELATED; 525 N. GRAND AVENUE, STE 5 NOGALES, AZ 85621; CPA-PREPAREE INDIVIDUAL AND BUSINESS INCOME TAX RETURNS. ASSIST CLIENTS WITH RECONCILLIATION OF THEIR INTERNAL ACCOUNTING SYSTEMS/ESTATE PLANNING ISSUES; NO HOURS DURING SECURITIES TRADING HOURS; 04/96 2)CAGE REAL ESTATE. LLC- INVESTMENT RELATED; 1461 N. INDUSTRIAL PARK DRIVE, NOGALES, AZ 85621; MANAGING MEMBER (1 OF 4 MEMBERS); RENTAL OF COMMERCIAL (WAREHOUSE) PROPERTY; BOOKKEEPING ASSOCIATED WITH THE RENTAL ACTIVITY. ACTIVITY IS MINIMAL WITH ONE RENT DEPOSIT PER MONTH AND ADMINISTRATIVE; NO HOURS DURING SECURITIES WORKING HOURS; 2/2014 3)JEM REAL ESTATE LLC- INVESTMENT RELATED; 869 N. GRAND AVENUE, NOGALES, AZ 85621; MANAGING MEMBER (1 OTHER MEMBER); COMMERCIAL PROPERTY RENTAL; COLLECTION OF MONTHLY RENTS AND CONTRACTING SUB-CONTRACTORS NEEDED FOR REPAIR AND/OR MAINTENANCE. NO HOURS DURING SECURITIES TRADING HOURS; 01/2019 4)ERNESTO A. CHAVEZ- INVESTMENT RELATED; 545 N. GRAND AVENUE, STE 5 NOGALES, AZ 85621; INSURANCE SALES OF FIXED INSURANCE PRODUCTS SUCH AS TERM AND INDEXED LIFE INSURANCE POLICIES; AGENT SALES OF FIXED INSURANCE PRODUCTS; NO HOURS DURING SECURITIES TRADING HOURS; 8/2010 5) LIDEN FINANCIAL,(DBA)-NOT INVESTMENT RELATED; 545 N GRAND AVENUE, STE 5 NOGALES, AZ 85621-MARKETING VEHICLE THROUGH WHICH INVESTMENT RELATED BUSINESS IS DONE WITH EMERSON EQUITY LLC-6.5 HOURS A DAY DURING SECURITIES TRADING HOURS; 01/2022
CRS (Client Relationship Summary) - RIA
Click below to view Ernesto A. Chavez Jr.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ernesto A. Chavez Jr.'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 3, 2022 - Present
EMERSON EQUITY LLC
Office #1: 545 N. Grand Ave Suite 5, Nogales, AZ 85621RIA
BD
CRD#: 130032
Nogales, AZ
Current
March 1, 2022 - Present
EMERSON EQUITY LLC
Office #1: 545 N. Grand Ave Suite 5, Nogales, AZ 85621RIA
BD
CRD#: 130032
Nogales, AZ
Past
October 19, 2015 - March 1, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Nogales, AZ
Past
September 29, 2015 - March 1, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Nogales, AZ
Past
October 8, 2014 - September 29, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
NOGALES, AZ
Past
August 30, 2010 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
NOGALES, AZ
Past
March 22, 2010 - April 21, 2010
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
February 28, 2001 - March 1, 2010
EDWARD JONES
BD
CRD#: 250
NOGALES, 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(3/3/2022)
IAR
Arizona(3/3/2022)
RR
California(3/2/2022)
RR
New Mexico(3/1/2022)
Exams
State Security Law Exam
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)
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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.
