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Kathleen Ann Drybread

Emerson Equity LLC

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About Kathleen Ann Drybread

Kathleen Drybread is a financial advisor with Emerson Equity LLC located in Phoenix, Arizona. Kathleen has been in the financial industry since 1992. Kathleen is currently registered with Arizona, California, Colorado, Oregon, Tennessee, Washington and Wisconsin. Kathleen has Series 6 and Series 63 securities licenses and has been active in the financial industry for over 30 years. Prior to joining Emerson Equity LLC, Kathleen was a registered representative with Brokers International Financial Services, LLC, Broker Dealer Financial Services Corp, Centaurus Financial, Inc, Nationwide Securities, LLC and 1717 Capital Management Company.

Firm Information

Kathleen Drybread 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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Kathleen Drybread’s Registration & Firm History

AZ

02/02/2024 - Present

Emerson Equity LLC (Phoenix AZ)

IA

10/02/2017 - 12/31/2023

BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. (URBANDALE IA)

AZ

12/05/2013 - 09/29/2017

BROKER DEALER FINANCIAL SERVICES CORP. (PHOENIX AZ)

AZ

06/14/2010 - 12/05/2013

CENTAURUS FINANCIAL, INC. (PHOENIX AZ)

AZ

08/01/2008 - 06/15/2010

NATIONWIDE SECURITIES, LLC (PHOENIX AZ)

AZ

02/21/2003 - 08/01/2008

1717 CAPITAL MANAGEMENT COMPANY (PHOENIX AZ)

DE

02/28/1990 - 09/14/2000

1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)

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Licenses & Designations

BC

Issued 05/23/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kathleen Ann Drybread.
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