Investors might have sustained losses due to securities broker James Daniel Kent Jr. (also known as Jim Kent) [CRD: 2255753, San Mateo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Kent worked for Emerson Equity LLC from September 29, 2016, to March 1, 2021, in Pinellas Park, Florida, and later from […]

Investors apparently complained about securities broker George Wallace Smith (also known as Wally Smith) [CRD: 4844156, Englewood, Colorado], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. George Smith worked for Emerson Equity LLC beginning on July 1, 2020, and later registered as a financial advisor with Ridgegate Advisors LLC on July 28, 2025, […]

Investors potentially incurred losses because of securities broker Raymond Edward DesRosiers (also known as Ray DesRosiers) [CRD: 4621826, Greenwich, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DesRosiers worked for Emerson Equity LLC from March 24, 2017, to May 2, 2022, WealthForge Securities LLC from May 6, 2022, to March 1, […]

Investors potentially incurred losses because of securities broker Gregory Jonathan Ritter (also known as Gregory John Ritter) [CRD: 3087358, Delaware, Ohio], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Ritter worked for Emerson Equity LLC beginning June 8, 2010, as a broker and has also been registered with the firm as an […]

Investors potentially incurred losses because of securities broker Ryan Jonathan Sherer [CRD: 5952617, Reno, Nevada], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ryan Sherer has been registered with Emerson Equity LLC since April 15, 2019, where he has worked as both a broker and an investment adviser. Investors can see below […]

Investors potentially experienced sales practice violations by securities broker Daniel Simon Pikula (also known as Dan Pikula) [CRD: 2563165, Wellington, Florida], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Pikula has been registered with Emerson Equity LLC since April 18, 2018, and with Money Manager Inc. since June […]

Investors apparently complained about securities broker David Christian Waal [CRD: 1226437, Irvine, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Waal worked for Emerson Equity LLC beginning on June 30, 2021, and previously worked for Orchard Securities LLC from May 8, 2020, to October 12, 2020. Keep reading for […]

Investors potentially incurred losses because of securities broker Timothy John Sherer (also known as Tim Sherer) [CRD: 833618, Los Gatos, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Sherer worked for Emerson Equity LLC beginning April 15, 2019, after previously working for Sandlapper Wealth Management LLC and Sandlapper […]

Investors potentially incurred losses because of securities broker Patrick Wang Lam [CRD: 4723020, Scottsdale, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Lam worked for Emerson Equity LLC beginning April 15, 2019, after previously working for Sandlapper Securities LLC from October 15, 2018, to April 15, 2019, and J.P. […]