RB
Richard A. Borba
EMERSON EQUITY LLC
Lodi, CA
Some features on this profile are disabled
CRD#: 811527
RB
Professional summary
Richard Andrew Borba, who also goes by Rick Borba, is a registered financial advisor currently at EMERSON EQUITY LLC located in Lodi, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Richard has worked at 17 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Borba
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) FINANCIAL DYNAMICS, DBA-INVESTMENT RELATED, 2331 GRENOBLE DRIVE, LODI, CA 95242, DBA THROUGH WHICH SECURITIES, INSURANCE AND ADVISORY SERVICES ARE OFFERED THROUGH EMERSON EQUITY LLC., SOLE PROPRIETOR, SALES OF SECURITIES, INSURANCE AND ADVISORY SERVICES THROUGH EMERSON EQUITY LLC., 40HRS MONTH, 0 HRS DURING SECURITIES TRADING HOURS, 1978. 2) ALLIANZ LIFE AND ANNUITY-INVESTMENT RELATED, 5701 GOLDEN HILLS DR., MINNEAPOLIS, MN 55416, FIXED INSURANCE SALES, INSURANCE SALES REP, OFFERING RETIREMENT INCOME PLANNING FOR INDIVIDUALS, 35 HRS MONTHLY, 0 HRS DURING SECURITIES TRADING HOURS, 01/202 3) NATIONAL WESTERN LIFE INSURANCE COMPANY-INVESTMENT RELATED, BUILDING 3, 10801 N MOPAC EXPRESSWAY, AUSTIN, TX 78720, FIXED ANNUITY, LIFE AND ANNUITY SALES., INSURANCE SALES REP/SELF-EMPLOYED, SERVICE EXISTING CLIENTS WITH POLICY INFORMATION AND INCOME ELECTIONS, 1 HR MONTHLY, 0 HOURS DURING SECURITIES TRADING HOURS, 06/2018
CRS (Client Relationship Summary) - RIA
Click below to view Richard Andrew Borba's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Andrew Borba'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
October 8, 2024 - Present
EMERSON EQUITY LLC
RIA
BD
CRD#: 130032
Lodi, CA
Current
October 7, 2024 - Present
EMERSON EQUITY LLC
Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618RIA
BD
CRD#: 130032
Irvine, CA
Past
January 12, 2024 - October 1, 2024
PORTSMOUTH FINANCIAL SERVICES
BD
CRD#: 13980
SAN FRANCISCO, CA
Past
January 11, 2024 - October 1, 2024
PORTSMOUTH FINANCIAL SERVICES
RIA
CRD#: 13980
Lodi, CA
Past
March 31, 2023 - January 24, 2024
ARETE WEALTH ADVISORS, LLC
RIA
CRD#: 145488
Lodi, CA
Past
June 22, 2021 - June 13, 2023
CENTER STREET ADVISORS, INC.
RIA
CRD#: 169329
LODI, CA
Past
June 17, 2021 - December 1, 2023
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
LODI, CA
Past
October 27, 2020 - June 21, 2021
LIFEPRO ASSET MANAGEMENT
RIA
CRD#: 285252
Lodi, CA
Past
April 12, 2016 - October 26, 2020
CENTER STREET ADVISORS, INC.
RIA
CRD#: 169329
Lodi, CA
Past
May 31, 2013 - October 26, 2020
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
LODI, CA
Past
November 19, 2010 - December 31, 2012
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
OAKLAND, CA
Past
November 18, 2010 - December 31, 2012
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
OAKLAND, CA
Past
April 19, 2002 - October 29, 2010
QA3 FINANCIAL LLC
RIA
CRD#: 104957
OAKLAND, CA
Past
February 25, 2002 - October 29, 2010
QA3 FINANCIAL CORP.
BD
CRD#: 14754
OAKLAND, CA
Past
February 29, 2000 - February 22, 2002
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
May 25, 1999 - March 2, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
February 13, 1996 - May 28, 1999
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
February 4, 1993 - December 31, 1995
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
May 4, 1992 - December 31, 1992
PLANNED INVESTMENTS INC.
BD
CRD#: 5066
ATLANTA, GA
Past
January 5, 1990 - June 10, 1992
DERAND/PENNINGTON/BASS, INC.
BD
CRD#: 4679
Past
April 28, 1987 - December 19, 1989
INVESTMENT ARCHITECTS, INC.
BD
CRD#: 17774
PETALUMA, CA
Past
August 26, 1975 - April 2, 1987
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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(10/7/2024)
IAR
California(10/8/2024)
RR
Oregon(10/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/21/1975
Registered Representative ExaminationSRO 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
