DZ
Douglas M. Zator
EMERSON EQUITY LLC
Newport Beach, CA
Some features on this profile are disabled
CRD#: 6321246
DZ
Professional summary
Douglas M Zator, who also goes by Doug M Zator, Douglas Michael Zator, Douglas M Zator, Douglas Zator, is a registered financial advisor currently at EMERSON EQUITY LLC located in Newport Beach, California.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Douglas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug M Zator | Douglas Michael Zator | Douglas M Zator | Douglas Zator
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)- PERCH WEALTH-INVESTMENT RELATED, 9940 RESEARCH DR, STE 200, IRVINE CA 92618-MARKETING VEHICLE THROUGH WHICH INVESTMENT RELATED BUSINESS, PRESIDENT, ADVISE CLIENTS ON INVESTMENTS, 11/2021, 8 HOURS A DAY DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas M Zator's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas M Zator'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
December 7, 2023 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
Newport Beach, CA
Current
December 7, 2023 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402Office #2: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
August 9, 2023 - December 11, 2023
ARKADIOS WEALTH ADVISORS
RIA
CRD#: 288863
Newport Beach, CA
Past
August 9, 2023 - December 11, 2023
ARKADIOS CAPITAL
BD
CRD#: 282710
ATLANTA, GA
Past
November 19, 2021 - August 15, 2023
EMERSON EQUITY LLC
RIA
CRD#: 130032
Newport Beach, CA
Past
November 19, 2021 - August 15, 2023
EMERSON EQUITY LLC
BD
CRD#: 130032
SAN MATEO, CA
Past
November 11, 2020 - November 18, 2021
QUINCY WELLS ADVISORS, LLC
RIA
CRD#: 307477
Costa Mesa, CA
Past
November 9, 2020 - November 18, 2021
GREAT POINT CAPITAL LLC
BD
CRD#: 114203
CHICAGO, IL
Past
November 6, 2018 - November 12, 2020
CANTOR FITZGERALD INVESTMENT ADVISORS
RIA
CRD#: 159296
NEWPORT, CA
Past
November 5, 2018 - November 12, 2020
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEWPORT BEACH, CA
Past
May 23, 2017 - November 9, 2018
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Chicago, IL
Past
May 23, 2017 - November 9, 2018
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Chicago, IL
Past
June 30, 2016 - March 9, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
June 30, 2016 - March 9, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
Past
December 7, 2015 - June 23, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
CHICAGO, IL
Past
August 20, 2014 - June 23, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CHICAGO, IL
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(12/7/2023)
IAR
California(12/7/2023)
RR
Florida(7/9/2024)
RR
Illinois(1/18/2024)
RR
Minnesota(11/26/2024)
RR
Oregon(1/2/2024)
RR
Texas(4/24/2025)
RR
Washington(8/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
