JW
Jeff W. Webb
EMERSON EQUITY LLC
Denver, CO 80246
Some features on this profile are disabled
CRD#: 6486331
JW
Professional summary
Jeff W Webb, AIF® is a registered financial advisor currently at EMERSON EQUITY LLC located in Denver, Colorado.
Jeff is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jeff has worked at 3 firms and has passed the Series 66, SIE 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.
MOUNTAIN FINANCIAL, LLC, INVESTMENT RELATED; DENVER, CO; INSURANCE BROKERAGE, PRESIDENT AND CEO, STARTED 02/2006, APPROX 80 HOURS/MTH, APPROX 40 HOURS/MTH DURING TRADING HOURS, PERFORM ALL ADMINISTRATIVE OVERSIGHT AND PARTICIPATE IN PRODUCTION FOR THE INSURANCE BROKERAGE.
CRS (Client Relationship Summary) - RIA
Click below to view Jeff W Webb's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeff W Webb'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®
Experience
Current
November 5, 2019 - Present
EMERSON EQUITY LLC
Office #1: 4100 E Mississippi Ave 4th Floor Pmb 7925, Denver, CO 80246RIA
BD
CRD#: 130032
Denver, CO
Current
May 5, 2017 - Present
EMERSON EQUITY LLC
Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402RIA
BD
CRD#: 130032
SAN MATEO, CA
Past
January 5, 2018 - January 2, 2020
KINGSTONE CAPITAL PARTNERS TEXAS, LLC
RIA
CRD#: 281593
Denver, CO
Past
March 29, 2017 - December 31, 2017
KINGSTONE CAPITAL PARTNERS TEXAS, LLC
RIA
CRD#: 281593
Denver, CO
Past
July 15, 2015 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
RIA
CRD#: 16944
DENVER, CO
Past
June 12, 2015 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
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".
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(5/5/2017)
IAR
California(11/15/2019)
RR
Colorado(5/5/2017)
IAR
Colorado(11/5/2019)
RR
Florida(2/10/2022)
IAR
Florida(9/1/2023)
RR
Illinois(3/15/2022)
RR
Minnesota(5/11/2017)
RR
New York(5/5/2017)
RR
Texas(9/5/2017)
Exams
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.
