Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Andrew Borba is an investment advisor representative with Emerson Equity LLC. Richard has been in the securities industry since 1976. Richard is licensed to sell securities in California and Oregon. Richard also holds a Series 65 license which allows him to provide investment advice.
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.
1
2
CA
10/08/2024 - Present
Emerson Equity LLC (Lodi CA)
CA
06/17/2021 - 12/01/2023
CENTER STREET SECURITIES, INC. (LODI CA)
CA
05/31/2013 - 10/26/2020
CENTER STREET SECURITIES, INC. (LODI CA)
CA
11/18/2010 - 12/31/2012
THE O.N. EQUITY SALES COMPANY (OAKLAND CA)
CA
02/25/2002 - 10/29/2010
QA3 FINANCIAL CORP. (OAKLAND CA)
CA
02/29/2000 - 02/22/2002
LEGACY FINANCIAL SERVICES, INC. (PETALUMA CA)
FL
05/25/1999 - 03/02/2000
INTERSECURITIES, INC. (ST. PETERSBURG FL)
OH
02/13/1996 - 05/28/1999
THE O.N. EQUITY SALES COMPANY (CINCINNATI OH)
GA
02/04/1993 - 12/31/1995
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
GA
05/04/1992 - 12/31/1992
PLANNED INVESTMENTS INC. (ATLANTA GA)
NA
01/05/1990 - 06/10/1992
DERAND/PENNINGTON/BASS, INC.
CA
04/28/1987 - 12/19/1989
FTFS (PETALUMA CA)
NA
08/26/1975 - 04/02/1987
CONNECTICUT MUTUAL FINANCIAL SERVICES, INC.
IA
Issued 04/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1999
Series 7 - General Securities Representative Examination
BC
Issued 08/21/1975
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
Not sure Richard Borba is the right advisor for you? Invested Better is here to help.
