ZB
Zack S. Brough
EMERSON EQUITY LLC
APTOS, CA
Some features on this profile are disabled
CRD#: 5674690
ZB
Professional summary
Zack Steven Brough is a registered financial advisor currently at EMERSON EQUITY LLC located in Aptos, California.
Zack is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Zack has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) PREMIER REALTY ASSOCIATES; INVESTMENT RELATED; APTOS, CA 94133; REAL ESTATE; START: 06/2018; POSITION: REAL ESTATE AGENT; 100 HRS/MON AND 50 DURING TRADING; ASSIST CLIENTS WITH BUYING AND SELLING REAL ESTATE; COMPENSATION: COMMISSIONS.
2) DBA 1031 INVESTMENT STRATEGIES, LLC, INVESTMENT RELATED; COMPANY ESTABLISHED 237 KEARNY STREET, #148, SAN FRANCISCO, CA 94108 IN JUNE, 2017; NATURE OF THE OTHER BUSINESS - I.E., DBA THROUGH WHICH I MARKET FINANCIAL SERVICES; ALL SECURITIES AND INVESTMENT ACTIVITIES ARE DONE THROUGH MY EMPLOYING BROKER-DEALER, EMERSON EQUITY LLC; PRESIDENT/CEO 7960 B SOQUEL DRIVE, STE 253, APTOS, CA 95003. DAY TO DAY MANAGEMENT AND CORPORATE FILINGS; 20 HOURS/MONTH; 1 HOURS/TRADING DAY.
CRS (Client Relationship Summary) - RIA
Click below to view Zack Steven Brough's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Zack Steven Brough'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 31, 2019 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
APTOS, CA
Current
June 1, 2017 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
June 23, 2015 - June 7, 2017
PRIMEX
BD
CRD#: 29394
NEW YORK, NY
Past
February 10, 2015 - June 25, 2015
LIGHTHOUSE CAPITAL GROUP, LLC
BD
CRD#: 169135
PASADENA, CA
Past
January 24, 2014 - November 24, 2014
DFPG INVESTMENTS, LLC
BD
CRD#: 155576
SANDY, UT
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
Arkansas(10/25/2024)
RR
California(6/1/2017)
IAR
California(1/31/2019)
RR
Colorado(8/16/2017)
RR
Hawaii(12/9/2022)
RR
Nevada(6/2/2021)
RR
New York(6/1/2017)
RR
Oregon(10/14/2019)
RR
Tennessee(5/21/2024)
RR
Texas(6/18/2021)
RR
Virginia(1/19/2022)
RR
Washington(10/17/2022)
Exams
State Security Law Exam
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.
