AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JM

James D. Mcpherson

EMERSON EQUITY LLC
SAN MATEO, CA 94402
Some features on this profile are disabled
CRD#: 5918462
JM

Professional summary

James Dwight Mcpherson, who also goes by James D Mcpherson, Jay D Mcpherson, is a registered financial professional currently at EMERSON EQUITY LLC located in San Mateo, California.

James is registered as a RR (Registered Representative) and started their career in finance in 2011. James has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James D Mcpherson | Jay D Mcpherson

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Dwight Mcpherson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 18, 2021 - Present

EMERSON EQUITY LLC

Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #2: 155 Bovet Road, Suite 725, San Mateo, CA 94402
RIA
BD
CRD#: 130032
SAN MATEO, CA
Past

April 13, 2018 - December 31, 2018

GREAT POINT ADVISORS LLC

RIA
CRD#: 164554
CHICAGO, IL
Past

February 16, 2018 - December 31, 2020

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
Melbourne, FL
Past

October 25, 2017 - February 6, 2018

COLONY PARK FINANCIAL SERVICES LLC.

RIA
CRD#: 41534
Jupiter, FL
Past

September 25, 2017 - February 6, 2018

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
GREENVILLE, SC
Past

June 16, 2015 - September 29, 2017

CONCORDE ASSET MANAGEMENT, LLC

RIA
CRD#: 140367
JUNO BEACH, FL
Past

June 2, 2015 - September 29, 2017

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
Juno Beach, FL
Past

February 21, 2013 - June 1, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PALM BEACH GARDENS, FL
Past

January 3, 2013 - June 1, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PALM BEACH GARDENS, FL
Past

September 8, 2011 - May 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JUPITER, FL
Past

August 1, 2011 - May 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JUPITER, FL

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.

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
Florida
(2/19/2021)
RR
Georgia
(7/24/2023)
RR
Illinois
(11/19/2025)
RR
Maryland
(6/10/2021)
RR
New Jersey
(1/30/2023)
RR
New York
(8/29/2021)
RR
North Carolina
(2/2/2023)
RR
Ohio
(4/12/2022)
RR
Pennsylvania
(8/24/2021)
RR
South Carolina
(12/8/2022)
RR
Texas
(2/26/2021)
RR
Utah
(2/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/3/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/2011
General Securities Representative Examination
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/27/2025)

Direct owners and executive officers

NamePositionCRD#
BALDINI, DOMINIC JULIOMANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP3082081
MORRISSEY, KATHLEEN FRANCESCHIEF OPERATIONS OFFICER1771747
SNYDER, SEAN KRISTIANCHIEF STRATEGY OFFICER1860842

Regulatory assets under management

Total Number of Accounts1,091
AUM (Assets Under Management)$ 327,937,701

Disclosures

Regulatory Event2

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.

Company Information

EMERSON EQUITY LLC

CRD#: 130032San Mateo, CA 94402

TRUST BUT VERIFY

Monitor James Mcpherson

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Ashkahn Moayedi
Ashkahn MoayediAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
DANVILLE, CA
AG
Adam GreenAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
IAR
RR
SAN MATEO, CA
MS
Maximilian SoaresAdvisorCheck Check Mark
CHARLES SCHWAB & CO., INC.
RR
Upland, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.