YC
Yi Ping Chou
EMERSON EQUITY LLC
SUNNYVALE, CA
Some features on this profile are disabled
CRD#: 4882398
YC
Professional summary
Yi Ping Chou, who also goes by Stephen Chou, is a registered financial advisor currently at EMERSON EQUITY LLC located in Sunnyvale, California.
Yi Ping is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Yi Ping has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Chou
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.
DBA CHOU FINANCIAL SERVICES GROUP (CFSG) 9/2005 FIXED INSURANCE SALES, INVESTMENT RELATED, 721 HIBERNIA CT, SUNNYVALE, CA 94087-AGENT-MR. CHOU DEVOTES ABOUT ONE HOUR A MONTH TO THIS BUSINESS. ASIAN DREAM FOUNDATION - REP;S PRIVATION FOUNDATION-NOT INVESTMENT RELATED-CEO- EXCLUSIVELY FOR CHARITABLE PURPOSES AS NOTED IN THE INTERNAL REVENUE CODE OF 501(C)(3). THERE IS NO COMPENSATION TO THE REP. 721 HIBERNIA CT.; SUNNYVALE, CA 94087, 12/2011, 1 HR DAILY DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Yi Ping Chou's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yi Ping Chou'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
October 18, 2021 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
SUNNYVALE, CA
Current
October 18, 2021 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Past
January 31, 2014 - October 19, 2021
NPB FINANCIAL GROUP, LLC
RIA
CRD#: 137743
SUNNYVALE, CA
Past
January 31, 2014 - October 19, 2021
NPB FINANCIAL GROUP, LLC
BD
CRD#: 137743
SUNNYVALE, CA
Past
September 26, 2005 - February 6, 2014
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
HIBERNIA, CA
Past
September 7, 2005 - February 6, 2014
INVESTACORP, INC.
BD
CRD#: 7684
SUNNYVALE, CA
Past
March 7, 2005 - September 8, 2005
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
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(10/18/2021)
IAR
California(10/18/2021)
RR
New Jersey(5/25/2023)
RR
New York(10/19/2021)
RR
Washington(10/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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.
