Category: Emerson Equity LLC

Zhi Ying Guan (CRD#: 7000349) is a registered broker and investment advisor with Emerson Equity LLC in San Mateo, CA. Broker’s History He entered the securities industry in 2020 and has worked with Emerson Equity LLC since then. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

James Dale Warring (CRD#: 3198200) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2000 and previously worked with 1st Global Advisors Inc; R&M Wealth Management Services, LLC; United Planners’ Financial Services of America a Limited Partner; H.Beck, Inc.; Triad Advisors LLC; DAI Securities, LLC; and Eaglestone Wealth […]

The Wolper Law Firm represents investors around the country who have lost money in complex investment strategies and products, including Delaware Statutory Trusts, or “DSTs.” The Inspired Healthcare Capital family of DSTs is a recent example of a DST “gone bad” when the issuer notified investors that it was suspending distributions pending an inquiry by […]

Brandon Lane Morrow (CRD#: 3037943) is a Registered Broker with Emerson Equity LLC, in Irvine, CA.   Broker’s Background He entered the securities industry in 2000 and previously worked with UMB Scout Brokerage Services, Inc.; Nathan & Lewis Securities, Inc.; Waddell & Reed, Inc.; Behringer Securities LP; Realty Capital Securities, LLC; Triton Pacific Securities, LLC; […]

Darrah Michael Bourke (CRD # 5255413) is a Financial Advisor at Emerson Equity LLC in Mill Valley, CA.  Darrah Bourke has been in the securities industry since since 2007 and previously worked for Summit Brokerage Services, Inc., Stifel, Nicolaus & Company, Incorporated, Stone & Youngberg LLC and UBS Financial Services Inc. According to publicly available […]