JC
Joshua D. Chapin
EMERSON EQUITY LLC
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 5825638
JC
Professional summary
Joshua David Chapin is a registered financial advisor currently at EMERSON EQUITY LLC located in Irvine, California.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Joshua has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) BREAKWATER CAPITAL, LLC ; INVESTMENT RELATED, 508 � GOLDENROD AVE., CORONA DEL MAR, CA 92625, PERSONAL INVESTING, OWNER, INVESTMENT DECISIONS AND TRACKING, 0-5 HRS A MONTH, 0 HOURS DURING SECURITIES TRADING HOURS, 01/2024 2)NAME OF OTHER COMPANY: BREAKWATER CAPITAL (FORMERLY KNOWN AS JC FINANCIAL STRATEGIES); IS OTHER BUSINESS INVESTMENT RELATED; YES; ADDRESS OF OTHER BUSINESS: IRVINE, CA 92618; NATURE OF OTHER BUSINESS: S-CORP USED BY APPLICANT TO MARKET SECURITIES RELATED PRODUCTS OFFERED THROUGH EMERSON EQUITY LLC AS WELL AS INSURANCE PRODUCTS OFFERED THROUGH VARIOUS INSURANCE COMPANIES; POSITION WITH OTHER BUSINESS: PRESIDENT; START DATE: 09/2018; APPROXIMATE NUMBER OF HOURS DEVOTED TO OTHER BUSINESS: 160 HOURS; NUMBER OF HOURS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS: 7.5 PER DAY; DUTIES RELATING TO OTHER BUSINESS: MARKET SECURITY PRODUCTS AS WELL AS INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua David Chapin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua David Chapin'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 13, 2015 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Current
November 12, 2015 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Past
January 12, 2015 - November 13, 2015
SPC
RIA
CRD#: 110692
Westlake Village, CA
Past
January 12, 2015 - November 13, 2015
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
Westlake Village, CA
Past
February 25, 2014 - January 16, 2015
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
LOS ANGELES, CA
Past
February 7, 2014 - January 16, 2015
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
LOS ANGELES, CA
Past
December 23, 2010 - January 31, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAN PEDRO, 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.
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
Arizona(3/16/2022)
RR
California(11/12/2015)
IAR
California(11/13/2015)
RR
Colorado(5/28/2021)
RR
Florida(6/4/2019)
RR
Hawaii(9/28/2023)
RR
Idaho(12/2/2021)
RR
Maryland(7/18/2019)
RR
Massachusetts(9/11/2024)
RR
Montana(4/20/2023)
RR
Nebraska(10/31/2024)
RR
Nevada(4/23/2025)
RR
New York(3/1/2022)
RR
South Carolina(7/6/2023)
RR
Texas(4/28/2018)
RR
Washington(6/14/2019)
RR
Wisconsin(7/28/2021)
Exams
State Security Law Exam
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.
