DK
Daniel M. King
EMERSON EQUITY LLC
Venice, CA
Some features on this profile are disabled
CRD#: 5954543
DK
Professional summary
Daniel M King, who also goes by Dan King, Danny King, is a registered financial advisor currently at EMERSON EQUITY LLC located in Venice, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Daniel has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan King | Danny King
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) SOLIDARIS-NOT INVESTMENT RELATED, 5810 LONG PRAIRIE ROAD, SUITE 700-330 FLOWER MOUND, TX 75028, I WILL BE PASSING ALONG SAAS SOFTWARE COMPANIES TO SOLIDARIS CAPITAL AND THEY WILL PAY ME A FLAT MONTHLY FEE, REFERRAL PARTNER, REFER SAAS COMPANIES TO SOLIDARIS DD, 5 HRS MONTHLY, 0 HRS DURING SECURITIES TRADING HOURS, 05/2025 2) EMERSON FAMILY OFFICE-INVESTMENT RELATED, 9940 RESEARCH DRIVE, SUITE 200 IRVINE, CA 92618, DBA MARKETING VEHICLE THROUGH WHICH SECURITIES RELATED BUSINESS IN DONE THROUGH EMERSON EQUITY LLC., TEAM MEMBER, IDENTIFY AND EVALUATE INVESTMENT OPPORTUNITIES IN THE BEST INTERES OF MY CLIENTS., 20 HRS PER MONTH, 1 HR PER DAY DURING SECURITIES TRADING HRS, 04/2025
CRS (Client Relationship Summary) - RIA
Click below to view Daniel M King's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel M King'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
April 11, 2025 - Present
EMERSON EQUITY LLC
Office #2: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Venice, CA
Current
April 11, 2025 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Past
December 1, 2023 - May 12, 2025
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
SAN DIEGO, CA
Past
May 19, 2023 - August 21, 2023
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
New York, NY
Past
July 6, 2022 - May 12, 2025
KINGSWOOD WEALTH ADVISORS, LLC
RIA
CRD#: 288792
San Diego, CA
Past
February 23, 2019 - May 19, 2023
D. BORAL CAPITAL
BD
CRD#: 103792
New York, NY
Past
November 30, 2016 - February 21, 2019
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
NEW YORK, NY
Past
March 30, 2015 - December 5, 2016
LEGEND SECURITIES, INC.
BD
CRD#: 44952
Melville, NY
Past
March 13, 2015 - March 20, 2015
SIXTEEN SECURITIES, INC.
BD
CRD#: 104025
Melville, NY
Past
August 8, 2011 - March 13, 2015
BROOKVILLE CAPITAL PARTNERS
BD
CRD#: 102380
Melville, 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(4/11/2025)
IAR
California(4/11/2025)
RR
Georgia(9/8/2025)
RR
Nevada(4/22/2025)
RR
New York(4/11/2025)
RR
Texas(4/15/2025)
RR
Utah(5/7/2025)
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.
