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Alexander Quinn McCarthy

Emerson Equity LLC

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About Alexander Quinn McCarthy

Alexander McCarthy is an investment advisor representative with Emerson Equity LLC, a firm registered with the SEC. Alexander's background in the industry dates back to 1998. Alexander specializes in providing financial planning, portfolio management for individuals, and selection of other advisors. Alexander has prior experience with firms including B. Riley Securities, Inc., B. Riley & Co., LLC, and CRT Capital Group LLC.

Firm Information

Alexander McCarthy is currently registered with Emerson Equity LLC. Emerson Equity LLC is a California-based limited liability company formed in 2003 that provides investment advisory services. With over 200 registered representatives and 70+ investment advisor representatives, the firm manages approximately $176 million in regulatory assets for a range of clients, including individuals, pension plans, and other investment advisors. Their services include financial planning, educational seminars, portfolio management, and selection of other advisors. Emerson Equity focuses on providing comprehensive investment advice to individuals and institutions and specializes in the management of private placement life insurance and insurance dedicated funds. They are registered with the SEC and in all 50 states.
Emerson Equity LLC

155 BOVET ROAD, SUITE 725

SAN MATEO, CA 94402

$176.17M

Assets Under Management

39

Total Clients

165

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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management of private placement life insurance / insurance dedicated funds (single investor private funds)

Management of private placement life insurance / insurance dedicated funds (single investor private funds)

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Alexander McCarthy’s Registration & Firm History

CA

04/14/2021 - Present

Emerson Equity LLC (SAN MATEO CA)

CA

11/30/2017 - 04/08/2021

B. RILEY SECURITIES, INC. (San Francisco CA)

CA

07/11/2016 - 11/30/2017

B. RILEY & CO., LLC (SAN FRANCISCO CA)

CA

04/20/2015 - 06/29/2016

CRT CAPITAL GROUP LLC (San Francisco CA)

CA

12/17/2012 - 04/20/2015

STERNE, AGEE & LEACH, INC. (SAN FRANCISCO CA)

CA

12/12/2008 - 11/05/2012

THINKEQUITY LLC (SAN FRANCISCO CA)

CA

10/12/2006 - 12/10/2008

MONTGOMERY & CO., LLC (SAN FRANCISCO CA)

CA

03/10/2005 - 07/19/2006

JEFFERIES & COMPANY, INC. (SAN FRANCISCO CA)

CA

06/12/2002 - 09/22/2003

PACIFIC GROWTH EQUITIES, LLC (SAN FRANCISCO CA)

NY

03/15/2000 - 10/02/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

02/23/2001 - 05/01/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

CA

03/29/1999 - 04/27/2000

VOLPE BROWN WHELAN & COMPANY, LLC (SAN FRANCISCO CA)

NY

01/11/2000 - 02/22/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

02/03/1997 - 03/08/1999

JWGENESIS CAPITAL MARKETS LLC (NEW YORK NY)

MD

05/23/1995 - 06/18/1996

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

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Licenses & Designations

BC

Issued 12/11/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/22/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Alexander Quinn McCarthy. Review regulatory record here.
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