DV
Derek J. Vogel
EMERSON EQUITY LLC
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 7501748
DV
Professional summary
Derek James Vogel is a registered financial advisor currently at EMERSON EQUITY LLC located in Irvine, California.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Derek has worked at 1 firm and has passed the Series 66, Series 63, Series 7TO, SIE and Series 24 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)-APPRECIATION HOMES-INVESTMENT RELATED, 5950 BERKSHIRE LANE, STE 360, DALLAS, TX 75225, RAISING CAPITAL FOR A REG D PRIVATE PLACEMENT IN SINGLE FAMILY HOMES, WHOLESALER, CONTACTING OTHER BD'S AND THEIR RESPECTIVE REPS, AS WELL AS OTHER RIAS AND THEIR RESPECTIVE IARS TO EDUCATE THEM ABOUT THE PRODUCT AND HELP THEM TO USE IT TO HELP THEIR CLIENTS., 240 HRS MONTHLY, 160 HRS MONTHLY, 03/2025 2) BRAND MODELS AND TALENT AGENCY-NOT INVESTMENT RELATED, 601 NORTH BAKER STEET, SANTA ANA, CA 92703, MODELING, MODEL, MODELING, 0 HRS, 0 HRS DURING SECURITIES TRADING HOURS, 11/2022 3)IRVINE ADVISORS, LLC-INVESTMENT RELATED, 9940 RESEARCH DRIVE, IRVINE, CA 92618, ENTITY THROUGH WHICH AFFILIATE'S SECURITIES RELATED BUSINESS IS MARKETED, EMPLOYEE, ENTITY USED FOR BRANDING/MARKETING PURPOSES ONLY, NO SPECIFIC DAY TO DAY ACTIVITY IN REGARDS TO THE LLC ITSELF., 160 HRS, 6.5 HRS DAILY DURING SECURITIES TRADING HOURS, 02/2023
CRS (Client Relationship Summary) - RIA
Click below to view Derek James Vogel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Derek James Vogel'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
February 9, 2023 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Current
March 23, 2022 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, 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".
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(5/2/2022)
IAR
California(2/9/2023)
RR
Utah(7/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/23/2022
General Securities Representative ExaminationGeneral 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.
