Shirley A. Wong
EMERSON EQUITY LLC
Daly City, CA 94015
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CRD#: 4869184
Professional summary
Shirley Ank Wong, CFP®, who also goes by Ankuan Huang, Kuan An Huang, Shirley Ankuan Huang, Shirley Huang, Shirley-ankuan Huang, Shirley An Wong, Shirley Wong, is a registered financial advisor currently at EMERSON EQUITY LLC located in Daly City, California.
Shirley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Shirley has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ankuan Huang | Kuan An Huang | Shirley Ankuan Huang | Shirley Huang | Shirley-Ankuan Huang | Shirley An Wong | Shirley Wong
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)- AK ADVISORS, INC. -INVESTMENT RELATED, 333 GELLERT BLVD., STE 201, DALY CITY, CA 94015, FIXED INSURANCE, LONG TERM CARE, FIXED INDEX ANNUITY, MEDICAL INSURANCE, PROPERTY & CASUALTY INSURANCE, PRESIDENT, INSURANCE BROKER, QUOTE CLIENT PREMIUMS, PROVIDE ILLUSTRATIONS, PROCESS APPLICATIONS AND FOLLOW UP SERVICES, 40 HRS PER MONTH, ZERO HOURS PER MONTH DURING SECURITIES TRADING HOURS, 03/2016
CRS (Client Relationship Summary) - RIA
Click below to view Shirley Ank Wong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shirley Ank Wong'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: 2021
Experience
Current
April 25, 2024 - Present
EMERSON EQUITY LLC
Office #1: 333 Gellert Blvd Suite 223, Daly City, CA 94015Office #2: 333 Gellert Blvd Suite 201, Daly City, CA 94015RIA
BD
CRD#: 130032
Daly City, CA
Current
April 18, 2024 - Present
EMERSON EQUITY LLC
Office #1: 333 Gellert Blvd Suite 201, Daly City, CA 94015RIA
BD
CRD#: 130032
Daly City, CA
Past
November 6, 2014 - May 16, 2024
NI ADVISORS
RIA
CRD#: 134502
Daly City, CA
Past
January 7, 2014 - May 16, 2024
NI ADVISORS
BD
CRD#: 134502
Daly City, CA
Past
January 14, 2011 - December 12, 2012
NI ADVISORS
BD
CRD#: 134502
MILPITAS, CA
Past
September 3, 2007 - February 25, 2009
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
BURLINGAME, CA
Past
September 26, 2005 - February 21, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
SAN FRANCISCO, CA
Past
January 31, 2005 - September 29, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN FRANCISCO, CA
Past
December 6, 2004 - September 29, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, 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
RR
California(4/25/2024)
IAR
California(4/25/2024)
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.
