Zhi Ying Guan

EMERSON EQUITY LLC

San Jose, CA 95125

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CRD#: 7000349

Professional summary

Zhi Ying Guan, who also goes by Jeff Guan, Jeffrey Guan, Zhi Ying Jeffrey Guan, is a registered financial advisor currently at EMERSON EQUITY LLC located in San Jose, California.

Zhi Ying is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Zhi Ying has worked at 1 firm and has passed the Series 66, SIE and Series 7TO exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Guan | Jeffrey Guan | Zhi Ying Jeffrey Guan

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)- CEREUS INVESTMENTS-INVESTMENT RELATED, 1855 HAMILTON AVE., STE 101 SAN JOSE, CA 95125, ENTITY THROUGH WHICH SECURITIES RELATED ACTIVITIES ARE MARKETED, TAX AND CONSULTING SERVICES, CHIEF INVESTMENT OFFICER, ACTING AS CHIEF INVESTMENT OFFICER PROVIDING INVESTMENT CONSULTATIONS, 20 HRS MONTHLY, 20 HRS DURING SECURITIES TRADING HOURS, 09/2024 2) POTOBOX-NOT INVESTMENT RELATED, 3251 2TH AVE., SAN FRANCISCO, CA 94132, PHOTOBOOTH RENTAL, OWNER, OVERSEE OPERATIONS ON A WEEKLY BASES, 20 HRS MONTHLY, 5 HOURS DURING SECURITIES TRADING HOURS, 07/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zhi Ying Guan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Zhi Ying Guan'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®

None

Experience

Current

December 18, 2020 - Present

EMERSON EQUITY LLC

Office #1: 1855 Hamilton Ave. Ste 101, San Jose, CA 95125

RIA

CRD#: 130032

San Jose, CA

Current

December 18, 2020 - Present

EMERSON EQUITY LLC

Office #1: 155 Bovet Road, Suite 725, San Mateo, CA 94402

RIA

CRD#: 130032

SAN MATEO, CA

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
(5/6/2021)

California
(12/18/2020)

IAR

California
(12/18/2020)

Colorado
(5/6/2021)

Florida
(4/27/2021)

Georgia
(4/27/2021)

Hawaii
(6/10/2021)

Idaho
(5/6/2021)

Illinois
(7/8/2025)

Minnesota
(2/10/2022)

Nevada
(11/26/2024)

New Jersey
(5/12/2022)

New York
(3/9/2021)

Oklahoma
(8/11/2022)

Oregon
(5/5/2021)

South Carolina
(3/9/2021)

Tennessee
(6/3/2025)

Virginia
(7/19/2021)

Washington
(8/9/2023)

Wisconsin
(6/5/2025)

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

IAR

Series 66

Date: 8/15/2020

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/17/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7TO

Date: 9/6/2019

General Securities 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

Zhi Ying Guan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zhi Ying Guan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Zhi Ying Guan's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

Primary Firm SEC Registration

EMERSON EQUITY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2020

SIE

Date: 12/17/2020

Series 7TO

Date: 9/6/2019

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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