Adam R. Shipley

NORTHWOODS FINANCIAL PARTNERS LLC

HERMOSA BEACH, CA 90254

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CRD#: 6482848

Professional summary

Adam Ross Shipley is a registered financial advisor currently at NORTHWOODS FINANCIAL PARTNERS LLC located in Hermosa Beach, California and EMERSON EQUITY LLC located in Hermosa Beach, California.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Adam has worked at 5 firms and has passed the Series 66, SIE, Series 3 and Series 7 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) FIXED INSURANCE-CA INSURANCE LICENSE-INVESTMENT RELATED-9940 RESEARCH DRIVE 3200 IRVINE, CA 92618-TERM LIFE INSURANCE AND ANNUITIES-OCCASIONALLY ADVISE CLIENTS ON FIXED TERM LIFE INSURANCE AND ANNUITIES-05/2015- NO HOURS DURING SECURITIES TRADING HOURS 2) Emerson Equity LLC; Inv-related: yes; San Mateo, CA; Broker/dealer; Registered Representative; 07/2021; 40 hours/mo; 8 during securities trading; sales and service brokerage products. 3) NORTHWOODS FINANCIAL PARTNERS, LLC-INVESTMENT RELATED, 2321 ROSECRANS AVE., STE 4220 EL SEGUNDO, CA , RIA, MANAGING PARTNER, FINANCIAL PLANNING AND WEALTH MANAGEMENT RIA, 80 HRS PER MONTH, 4 HRS DURING SECURITIES TRADING HOURS, 10/2024

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Ross Shipley'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®

None

Experience

Current

October 24, 2024 - Present

NORTHWOODS FINANCIAL PARTNERS LLC

Office #1: 2447 Pacific Coast Highway 2nd Floor, Hermosa Beach, CA 90254

RIA

CRD#: 332747

HERMOSA BEACH, CA

Current

July 21, 2021 - Present

EMERSON EQUITY LLC

Office #1: 2447 Pacific Coast Hwy 2nd Floor, Hermosa Beach, CA 90254

RIA

CRD#: 130032

Hermosa Beach, CA

Past

July 22, 2021 - October 21, 2024

EMERSON EQUITY LLC

RIA

CRD#: 130032

Irvine, CA

Past

March 8, 2016 - July 22, 2021

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEWPORT BEACH, CA

Past

February 4, 2016 - July 22, 2021

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEWPORT BEACH, CA

Past

April 24, 2015 - July 31, 2015

SELECT PLANNING GROUP, INC.

RIA

CRD#: 172456

IRVINE, CA

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
(2/16/2022)

California
(7/21/2021)

IAR

California
(10/24/2024)

Colorado
(6/8/2022)

Georgia
(8/30/2021)

Idaho
(10/6/2021)

Illinois
(8/27/2021)

Kentucky
(2/28/2022)

Nevada
(10/1/2021)

New Hampshire
(10/15/2021)

New York
(11/15/2021)

North Carolina
(7/19/2022)

Oregon
(11/9/2021)

Texas
(12/9/2022)

Washington
(4/28/2023)

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

IAR

Series 66

Date: 11/10/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/8/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/4/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NORTHWOODS FINANCIAL PARTNERS LLC

CRD#: 332747 / SEC#:

California

Registered Investment Advisory firm - (10/24/2024 Approved)

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Contact information

Main Address

2447 Pacific Coast Highway 2nd Floor, Hermosa Beach, CA 90254

Mailing Address

Phone number

(424) 675-4164

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Adam R. Shipley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Ross Shipley's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWOODS FINANCIAL PARTNERS LLC

EMERSON EQUITY LLC

EMERSON EQUITY LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

SELECT PLANNING GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2015

SIE

Date: 10/1/2018

Series 3

Date: 6/8/2016

Series 7

Date: 2/4/2016

FINRA

Current Firm

NORTHWOODS FINANCIAL PARTNERS LLC

Contact information

Documents

Red Flags

Company Information

NORTHWOODS FINANCIAL PARTNERS LLC

TRUST BUT VERIFY

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