JS
Jason Smith
EMERSON EQUITY LLC
Arlington, TX
Some features on this profile are disabled
CRD#: 6060809
JS
Professional summary
Jason Smith III, who also goes by Jason Peter Smith III, Jason Peter Smith, is a registered financial advisor currently at EMERSON EQUITY LLC located in Arlington, Texas.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Jason has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jason Peter Smith Iii | Jason Peter Smith
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) SOUTHPAW CONSULTING, LLC-NOT INVESTMENT RELATED, 4207 TIMBER TRAIL COURT, ARLINGTON, TX 76016, BUSINESS MANAGEMENT CONSULTING, OWNER, CONSULTING WITH BUSINES OWNERS ON GROWTH STRATEGIES, PROCESS IMPROVEMENTS, TECHNOLOGY INTEGRATIONS AND OPERATIONAL EFFICIENCIES, 20 HRS A MONTH, 20 HRS DURING SECURITIES TRADING HOURS, 07/2017 2) LICENSED INSURANCE AGENT-INVESTMENT RELATED, 4207 TIMBER TRAIL COURT, ARLINGTON, TX 76016, FIXED LIFE INSURANCE AND ANNUITY SALES, AGENT, SELL FIXED INSURANCE AND ANNUITY P RODUCTS, 10 HRS MONTHLY, 10 HRS DURING SECURITIES HOURS, 09/2012
CRS (Client Relationship Summary) - RIA
Click below to view Jason Smith III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason Smith III'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 24, 2025 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
Arlington, TX
Current
September 15, 2025 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
January 25, 2021 - January 31, 2025
CF FINANCIAL
RIA
CRD#: 311964
FORT WORTH, TX
Past
August 17, 2016 - January 22, 2021
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Dallas, TX
Past
August 17, 2016 - January 22, 2021
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Dallas, TX
Past
September 4, 2012 - August 19, 2016
EDWARD JONES
RIA
CRD#: 250
FT WORTH, TX
Past
June 18, 2012 - August 19, 2016
EDWARD JONES
BD
CRD#: 250
FT WORTH, TX
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
IAR
Texas(4/24/2025)
RR
Texas(10/2/2025)
RR
Wisconsin(10/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/15/2025
General Securities Representative ExaminationGeneral 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.
