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DOUGLAS M ZATOR
DOUG M ZATOR, DOUGLAS MICHAEL ZATOR, Douglas M Zator, Douglas Zator
CRD#: 6321246
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Investment Adviser
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Broker
EMERSON EQUITY LLCCRD#: 130032 Newport Beach, CA
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - 2018 (1 year)2 FIRMS2018 - 2020 (2 years)2 FIRMS2020 - 2021 (1 year)2 FIRMS2021 - 2023 (1 year)2 FIRMS2023 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BMETLIFE SECURITIES, INC (CRD# 14251)2014 - 2016 (1 year)IAMETLIFE SECURITIES INC. (CRD# 14251)2015 - 2016 (<1 year)
License(s)

State Registrations

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California 12/7/2023

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Minnesota 11/26/2024

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California 12/7/2023

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Oregon 1/2/2024

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Florida 7/9/2024

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Washington 8/15/2024

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Illinois 1/18/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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EMERSON EQUITY LLC (CRD#:130032)
Newport Beach, CA
Registered with this firm since 12/7/2023

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EMERSON EQUITY LLC (CRD#:130032)
Newport Beach, CA
Registered with this firm since 12/7/2023

Previous Registration(s)
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08/09/2023 - 12/11/2023 ARKADIOS WEALTH ADVISORS (CRD#:288863) Newport Beach, CA
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08/09/2023 - 12/11/2023 ARKADIOS CAPITAL (CRD#:282710) ATLANTA, GA
IA
11/19/2021 - 08/15/2023 EMERSON EQUITY LLC (CRD#:130032) Newport Beach, CA
B
11/19/2021 - 08/15/2023 EMERSON EQUITY LLC (CRD#:130032) SAN MATEO, CA
IA
11/11/2020 - 11/18/2021 GREAT POINT ADVISORS, LLC (CRD#:307477) Costa Mesa, CA
B
11/09/2020 - 11/18/2021 GREAT POINT CAPITAL LLC (CRD#:114203) CHICAGO, IL
IA
11/06/2018 - 11/12/2020 CANTOR FITZGERALD INVESTMENT ADVISORS (CRD#:159296) NEWPORT, CA
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11/05/2018 - 11/12/2020 CANTOR FITZGERALD & CO. (CRD#:134) NEWPORT BEACH, CA
IA
05/23/2017 - 11/09/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) Chicago, IL
B
05/23/2017 - 11/09/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) Chicago, IL
IA
06/30/2016 - 03/09/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
B
06/30/2016 - 03/09/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
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12/07/2015 - 06/23/2016 METLIFE SECURITIES INC. (CRD#:14251) CHICAGO, IL
B
08/20/2014 - 06/23/2016 METLIFE SECURITIES, INC (CRD#:14251) CHICAGO, IL
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.