TS
Timothy E. Sullivan
EMERSON EQUITY LLC
Sausalito, CA 94965
Some features on this profile are disabled
CRD#: 4505978
TS
Professional summary
Timothy Evan Sullivan is a registered financial professional currently at EMERSON EQUITY LLC located in Sausalito, California.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2002. Timothy has worked at 6 firms and has passed the Series 66, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Timothy Evan Sullivan'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
November 17, 2009 - Present
EMERSON EQUITY LLC
Office #1: 3030 Bridgeway Suite 330, Sausalito, CA 94965RIA
BD
CRD#: 130032
Sausalito, CA
Past
August 15, 2012 - August 20, 2014
MICROVENTURE MARKETPLACE INC.
BD
CRD#: 152513
SAN FRANCISCO, CA
Past
December 15, 2011 - July 17, 2012
FORGE SECURITIES LLC
BD
CRD#: 134596
SAN FRANCISCO, CA
Past
June 18, 2007 - August 20, 2008
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
SAN FRANCISCO, CA
Past
October 14, 2005 - May 21, 2007
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
SAN FRANCISCO, CA
Past
July 30, 2002 - October 14, 2005
STONE & YOUNGBERG LLC
RIA
CRD#: 795
SAN FRANCISCO, CA
Past
March 14, 2002 - October 14, 2005
STONE & YOUNGBERG LLC
BD
CRD#: 795
SAN FRANCISCO, 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.
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(4/29/2013)
RR
California(11/17/2009)
RR
Colorado(10/27/2023)
RR
Florida(10/6/2010)
RR
Georgia(9/13/2016)
RR
Illinois(4/4/2017)
RR
Massachusetts(2/4/2015)
RR
Montana(8/31/2021)
RR
Nevada(8/13/2012)
RR
New Jersey(1/19/2016)
RR
New York(1/7/2013)
RR
North Carolina(1/19/2016)
RR
Oregon(1/19/2016)
RR
Pennsylvania(3/26/2014)
RR
Washington(3/5/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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.
Company Information
EMERSON EQUITY LLC
CRD#: 130032Sausalito, CA 94965TRUST BUT VERIFY
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