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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Caldwell Guilds is an active investment advisor representative with Emerson Equity LLC, based in Irvine, CA. John has been in the industry since March 1, 2009. John has a Series 63 license for broker-dealer registration and a Series 65 license for investment advisor registration. John's previous employers include Finalis Securities LLC, MUFG Securities Americas Inc., BTMU Securities, Inc. and Banc of America Securities LLC. John's experience spans across several industries, including investment banking and real estate, and John currently works for Emerson Equity LLC, providing investment advice to individuals, corporations, and other investment advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Management of private placement life insurance / insurance dedicated funds (single investor private funds)
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
11/20/2023 - Present
Emerson Equity LLC (Irvine CA)
NY
10/20/2021 - 11/07/2023
FINALIS SECURITIES LLC (NEW YORK NY)
NY
04/01/2017 - 11/17/2020
MUFG SECURITIES AMERICAS INC. (NEW YORK NY)
CA
07/01/2014 - 04/01/2017
BTMU SECURITIES, INC. (Los Angeles CA)
CA
09/26/2013 - 06/30/2014
MUFG (LOS ANGELES CA)
NY
10/01/1998 - 08/28/2002
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
07/21/1998 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
FL
06/15/1994 - 11/01/1995
VECTORMEX INCORPORATED (MIAMI FL)
IA
Issued 06/03/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2022
Series 7TO - General Securities Representative Examination
BC
Issued 01/13/2022
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 07/20/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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