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Nicholas John Paliotta

Emerson Equity LLC

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About Nicholas John Paliotta

Nicholas Paliotta is an investment advisor with Emerson Equity LLC. Nicholas has been in the industry since 2002 and is licensed in California and Texas. Nicholas previously worked at Realty Capital Securities, LLC, Behringer Securities LP, Manulife Financial Securities LLC, and Manulife Wood Logan, Inc. Nicholas specializes in financial planning, portfolio management for individuals and selection of other advisors. Nicholas has a strong track record of success in helping individuals achieve their financial goals.

Firm Information

Nicholas Paliotta 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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Nicholas Paliotta’s Registration & Firm History

CA

11/29/2018 - Present

Emerson Equity LLC (SAN MATEO CA)

TX

09/21/2016 - 02/01/2017

EMERSON EQUITY LLC (Irving TX)

AZ

11/08/2011 - 12/08/2015

REALTY CAPITAL SECURITIES, LLC (SCOTTSDALE AZ)

TX

07/09/2004 - 10/17/2011

BEHRINGER SECURITIES LP (ADDISON TX)

MA

01/01/2002 - 02/18/2004

MANULIFE FINANCIAL SECURITIES LLC (BOSTON MA)

CT

08/14/1999 - 01/01/2002

MANULIFE WOOD LOGAN, INC. (STAMFORD CT)

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Licenses & Designations

IA

Issued 11/05/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/28/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/29/2001

Series 24 - General Securities Principal Examination

BC

Issued 02/01/2017

SIE - Securities Industry Essentials Examination

BC

Issued 08/10/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas John Paliotta.
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