Ryan D. Finch

EMERSON EQUITY LLC

Greenwood Village, CO 80112

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CRD#: 6379871

Professional summary

Ryan David Finch, CFP® is a registered financial advisor currently at EMERSON EQUITY LLC located in Greenwood Village, Colorado.

Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Ryan has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 22 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)FINCH SERTICH CAPITAL LLC - P.O. BOX 372327 DENVER CO 80237, MANAGING PARTNER, INVESTEMENT RELATED, NO COMPENSATION, 2 HOURS PER MONTH, 01/2013, MONITOR AND MANAGE THE PROPERTY MANAGERS THAT MANAGE THE SINGLE FAMILY RENTALS OWNED BY THE LLC. 2) DBA TANGIBLE WEALTH SOLUTIONS LLC, 9250 E COSTILLA AVE., STE 105, GREENWOOD VILLAGE, CO 80112, OWNER - PRESIDENT, INVESTMENT RELATED, 15 HOURS, 10/2015 3) 1395 HARLAN LLC, P.O. BOX 372327 DENVER CO 80237, MANAGING PARTNER, INVESTEMENT RELATED, NO COMPENSATION, 2 HOURS PER MONTH, 07/2015, MONITOR AND MANAGE THE PROPERTY MANAGERS THAT MANAGE THE SINGLE FAMILY RENTALS OWNED BY THE LLC 4) APPROACH 99 LLC / P.O. BOX 372327 DENVER CO 80237 / MANAGING PARTNER / INVESTEMENT RELATED / NO COMPENSATION / 2 HOURS PER MONTH, 05/2015, MONITOR AND MANAGE THE PROPERTY MANAGERS THAT MANAGE THE SINGLE FAMILY RENTALS OWNED BY THE LLC 5) SHARPE CAPITAL LLC/9250 E. COSTILLA AVE., STE 105, GREENWOOD VILLAGE, CO 80112/MANAGER/REAL ESTATE INVESTMENT CO, INVESTMENT RELATED; NO COMPENSATION, RECEIVED INVESTMENT RETURNS/20 HOURS PER MONTH, 11/2014, MONITOR AND MANAGE THE COMMERCIAL PROPERTY MANAGER IN CHARGE OF MULTIPLE COMMERCIAL PROPERTIES 6) SC RE I LLC/PO BOX 372327 DENVER CO 80237/MANAGING MEMBER/INVESTMENT RELATED/START DATE 7/16/19, SPENDS ABOUT 10 HOURS PER MONTH DURING SECURITIES TRADING HOURS/EARNS MANAGEMENT FEES, ACQUITION AND DISPOSITION FEES, 07/2019, 5 HRS A MONTH DURING SECURITIES TRADING HOURS. MONITOR AND MANAGE THE PROPERTY MANAGERS THAT MANAGE THE SINGLE FAMILY RENTALS OWNED BY THE LLC 7)- WHITESTONE REAL ESTATE FUND I, LLC-INVESTMENT RELATED-PO BOX 372327, DENVER CO 80237-MANAGING MEMBER-INVESTMENT RELATED; ACQUIRING AND MANAGING REAL ESTATE PROPERTIES-10 HOURS DURING SECURITIES TRADING HOURS; 11/2020, MONITOR AND MANAGE THE PROPERTY MANAGERS THAT MANAGE THE SINGLE FAMILY RENTALS OWNED BY THE LLC 8)-SKYLINE SOCCER ASSOCIATION-NOT INVESTMENT RELATED-3799 S JASON ST ENGLEWOOD CO 80110-YOUTH SOCCER COACH-2 PRACTICES DURING THE WEEK AND ONE GAME ON WEEKENDS. ZERO HOURS DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan David Finch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ryan David Finch'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

May 4, 2020 - Present

EMERSON EQUITY LLC

Office #1: 9250 E Costilla Avenue Suite 105, Greenwood Village, CO 80112

RIA

CRD#: 130032

Greenwood Village, CO

Current

April 21, 2020 - Present

EMERSON EQUITY LLC

Office #1: 9250 E Costilla Avenue Suite 105, Greenwood Village, CO 80112

RIA

CRD#: 130032

Greenwood Village, CO

Past

February 12, 2018 - April 22, 2020

COLORADO FINANCIAL SERVICE CORPORATION

RIA

CRD#: 104343

Greenwood Village, CO

Past

September 1, 2017 - April 22, 2020

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

Greenwood Village, CO

Past

September 16, 2014 - March 10, 2017

COBIZ WEALTH

RIA

CRD#: 125910

DENVER, CO

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".

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)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(4/13/2022)

Arkansas
(4/21/2020)

California
(4/21/2020)

Colorado
(4/21/2020)

IAR

Colorado
(5/4/2020)

Florida
(10/27/2020)

Georgia
(5/22/2025)

Hawaii
(1/7/2021)

Louisiana
(10/7/2024)

Maryland
(10/29/2025)

Missouri
(7/19/2022)

Montana
(6/5/2020)

Nebraska
(4/21/2020)

Nevada
(1/26/2021)

New Mexico
(6/2/2025)

New York
(6/21/2023)

North Dakota
(8/17/2023)

Ohio
(4/27/2022)

Oklahoma
(4/21/2020)

Oregon
(9/26/2023)

Tennessee
(12/12/2024)

Texas
(11/24/2021)

Virginia
(2/1/2023)

Washington
(4/1/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/15/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/16/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/4/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 9/1/2017

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

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

Name	Position	CRD#
BALDINI, DOMINIC JULIO	MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP	3082081
MORRISSEY, KATHLEEN FRANCES	CHIEF OPERATIONS OFFICER	1771747
SNYDER, SEAN KRISTIAN	CHIEF STRATEGY OFFICER	1860842

Regulatory assets under management

Total Number of Accounts	1,091
AUM (Assets Under Management)	$ 327,937,701

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Ryan D. Finch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan David Finch's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ryan David Finch's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

COLORADO FINANCIAL SERVICE CORPORATION

COLORADO FINANCIAL SERVICE CORPORATION

COBIZ WEALTH

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/15/2018

Series 65

Date: 9/16/2014

Series 7TO

Date: 4/4/2024

SIE

Date: 10/1/2018

Series 22

Date: 9/1/2017

FINRA

Current Firm

EMERSON EQUITY LLC

Contact information

SEC notice filing (32 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

EMERSON EQUITY LLC

TRUST BUT VERIFY

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