KZ
Kenneth C. Zupo
EMERSON EQUITY LLC
Antioch, CA
Some features on this profile are disabled
CRD#: 4509502
KZ
Professional summary
Kenneth Conrad Zupo, who also goes by Ken Zupo, is a registered financial advisor currently at EMERSON EQUITY LLC located in Antioch, California.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kenneth has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Zupo
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)- SOCCER REFEREE-NOT INVESTMENT RELATED; 800 W. TOWER AVE. ALAMEDA CA 94509; SPORTS RELATED; SOCCER OFFICIAL/REFEREE; OFFICIATE HIGH SCHOOL AND COLLEGIATE SOCCER GAMES; 0 HOUR DURING SECURITIES TRADING HOURS; 11/2021
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Conrad Zupo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Conrad Zupo'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
January 11, 2023 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
Antioch, CA
Current
January 12, 2023 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #2: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
April 2, 2014 - August 19, 2014
MONVIA FINANCIAL L.P.
RIA
CRD#: 165932
WALNUT CREEK, CA
Past
July 2, 2009 - December 31, 2022
WHITEHALL-PARKER SECURITIES, INC.
RIA
CRD#: 10608
WALNUT CREEK, CA
Past
July 1, 2009 - December 31, 2022
WHITEHALL-PARKER SECURITIES, INC.
BD
CRD#: 10608
WALNUT CREEK, CA
Past
October 2, 2006 - July 1, 2009
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
CONCORD, CA
Past
September 29, 2006 - July 1, 2009
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
CONCORD, CA
Past
August 5, 2004 - August 21, 2006
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
SAN JOSE, CA
Past
August 5, 2004 - August 21, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
SAN JOSE, CA
Past
October 17, 2002 - March 11, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SAN JOSE, CA
Past
July 15, 2002 - March 11, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
IAR
California(1/11/2023)
RR
California(1/12/2023)
RR
Texas(10/24/2023)
Exams
State Security Law Exam
General Industry/Product 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.
