JM
Jorge E. Martens
EMERSON EQUITY LLC
SAN MATEO, CA 94402
Some features on this profile are disabled
CRD#: 4361427
JM
Professional summary
Jorge Enrique Martens, who also goes by Jorge E. Martens, Jorge Enrique Martens, Jorge Rick Martens, Rick Martens, is a registered financial professional currently at EMERSON EQUITY LLC located in San Mateo, California.
Jorge is registered as a RR (Registered Representative) and started their career in finance in 2001. Jorge has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jorge E. Martens | Jorge Enrique Martens | Jorge Rick Martens | Rick Martens
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jorge Enrique Martens'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
May 16, 2022 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
March 13, 2018 - April 13, 2022
INLAND SECURITIES CORPORATION
BD
CRD#: 15807
OAK BROOK, IL
Past
January 9, 2012 - October 17, 2017
GRIFFIN CAPITAL SECURITIES, LLC
BD
CRD#: 37739
IRVINE, CA
Past
February 1, 2011 - January 6, 2012
GRUBB & ELLIS CAPITAL CORPORATION
BD
CRD#: 151226
SANTA ANA, CA
Past
November 4, 2010 - August 9, 2011
GRUBB & ELLIS SECURITIES, INC.
BD
CRD#: 17932
SANTA ANA, CA
Past
September 21, 2009 - October 21, 2010
LIGHTSTONE SECURITIES, LLC
BD
CRD#: 132596
MAHWAH, NJ
Past
January 27, 2009 - April 14, 2009
CABIN SECURITIES, INC.
BD
CRD#: 137608
WALNUT CREEK, CA
Past
January 3, 2007 - September 26, 2008
DBSI SECURITIES CORPORATION
BD
CRD#: 11687
BOISE, ID
Past
July 20, 2004 - January 3, 2007
PACIFIC CORNERSTONE CAPITAL INCORPORATED
BD
CRD#: 40397
IRVINE, CA
Past
March 21, 2001 - November 10, 2004
WELLS INVESTMENT SECURITIES,INC.
BD
CRD#: 15252
NORCROSS, 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.
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
Alabama(5/16/2022)
RR
Florida(5/16/2022)
RR
Louisiana(5/16/2022)
RR
North Carolina(5/16/2022)
RR
Puerto Rico(5/16/2022)
RR
Virgin Islands(5/16/2022)
RR
Virginia(5/16/2022)
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)
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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.
