AB
Andrew C. Bagnall
EMERSON EQUITY LLC
SEATTLE, WA
Some features on this profile are disabled
CRD#: 4331728
AB
Professional summary
Andrew Courtice Bagnall, CFP®, who also goes by Andrew C Bagnall, is a registered financial advisor currently at EMERSON EQUITY LLC located in Seattle, Washington.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew C Bagnall
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. LAW OFFICES OF ANDREW C. BAGNALL - SINCE APRIL 1992 ATTORNEY PRACTICING LAW AT 6308 36TH AVE SW, SEATTLE WA 98126; NOT INVESTMENT RELATED; ESTATE PLANNING, WILLS AND TRUSTS; APPROXIMATELY 1-2 HOURS PER MONTH; APPROXIMATELY 10 MINUTES PER DAY DURING TRADING HOURS; DUTIES - PROVIDE LEGAL AND TAX ADVICE. 2. FIXED INSURANCE SALES AT BRANCH LOCATION, INVESTMENT RELATED, INSURANCE SALES, LIFE, LTC 6/1/2016 - CURRENTLY 0 HOURS PER MONTH DURING SECURITIES; DUTIES: PROVIDE INSURANCE AND SALES. 3. BLB CAPITAL VENTURES - SINCE 2002; AT 6308 36TH AVE SW, SEATTLE WA 98126 - GENERAL PARTNER OF REAL ESTATE HOLDING CO.; NOT INVESTMENT RELATED; NOT AT BRANCH LOCATION; APPROXIMATELY 2-3 HOURS PER MONTH; 0 HOURS DURING TRADING SECURITIES HOURS; DUTIES: INTERACTING WITH ACCOUNTANTS AND TAXES. 4.SEEJAY, LLC - MANAGING MEMBER OF REAL ESTATE HOLDING CO., NOT AT BRANCH LOCATION, NOT INVESTMENT RELATED, 6308 36TH AVE SW SEATTLE WA 98126; APPROXIMATELY 2-3 HOURS PER MONTH DURING SECURITIES TRADING; DUTIES: SUPERVISE ACCOUNTING AND TAXES; SINCE August 1, 2008; 5.TART, LLC; TART OPTICAL ENTERPRISES, LLC; TART OPTICAL ENTERPRISES, INC. - 15303 VENTURA BLVD. SUITE 900, LOS ANGELES, CA 91403. EYEWEAR MANUFACTURING OPERATING COMPANIES AND TRADEMARK HOLDING COMPANIES. I PROVIDE LEGAL, TRADEMARK & TAX ADVICE; APPROXIMATELY 15 HOURS PER MONTH; APPROXIMATELY 10-15 HOURS PER MONTH DURING TRADING HOURS. NOT AT BRANCH LOCATION. START DATE 9/1/2015.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Courtice Bagnall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Courtice Bagnall'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: 2007
Experience
Current
July 7, 2017 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
SEATTLE, WA
Current
July 7, 2017 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
May 25, 2017 - July 18, 2017
WESTPARK CAPITAL, INC.
RIA
CRD#: 39914
Irvine, CA
Past
May 24, 2017 - July 18, 2017
WESTPARK CAPITAL, INC.
BD
CRD#: 39914
Irvine, CA
Past
July 6, 2015 - May 15, 2017
FIRST HEARTLAND CONSULTANTS, INC.
RIA
CRD#: 110377
WOODLAND HILLS, CA
Past
July 1, 2015 - May 15, 2017
FIRST HEARTLAND CAPITAL, INC.
BD
CRD#: 32460
Woodland Hills, CA
Past
April 25, 2007 - July 6, 2015
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
WOODLAND HILLS, CA
Past
April 23, 2007 - July 6, 2015
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WOODLAND HILLS, CA
Past
October 31, 2005 - April 30, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
CALABASAS, CA
Past
September 2, 2003 - May 10, 2007
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
RIA
CRD#: 107773
ENCINO, CA
Past
November 7, 2002 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 12, 2002 - September 9, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
January 26, 2001 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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
California(7/7/2017)
IAR
California(7/7/2017)
RR
Florida(7/27/2018)
RR
Nevada(3/17/2020)
RR
Oklahoma(7/7/2017)
RR
Texas(7/29/2022)
RR
Washington(4/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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.
