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Detailed Report
WEN CHE
CRD#: 6911319
IA
Investment Adviser
B
Broker
EMERSON EQUITY LLCCRD#: 130032 Torrance, CA
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
California 5/7/2019
B
Maryland 11/13/2022
IA
California 5/8/2019
B
Nevada 12/24/2024
B
Florida 12/2/2021
B
Texas 2/22/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EMERSON EQUITY LLC (CRD#:130032)
Torrance, CA
Registered with this firm since 5/8/2019
B
EMERSON EQUITY LLC (CRD#:130032)
Torrance, CA
Registered with this firm since 5/7/2019
Previous Registration(s)
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IA
 08/21/2018 - 05/08/2019 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) Diamond Bar, CA
B
 06/08/2018 - 05/08/2019 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) Diamond Bar, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.