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Forrest James

Investment Adviser Representative at EMERSON EQUITY LLC

Irvine, CACRD #1263114Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
39 yrs
States Registered
25 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Forrest James has worked in the securities industry since 1987. They are registered to provide investment advisory services in 25 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 25 states
ArizonaCaliforniaColoradoConnecticutFloridaGeorgiaIllinoisIndianaLouisianaMarylandMassachusettsMichiganNebraskaNevadaNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaTexasUtahVirginiaWashingtonWisconsin
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 10/28/2013
Series 65
Uniform Investment Adviser Law Examination
Passed 1/6/2001
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/14/2017
Series 22
Direct Participation Programs Representative Examination
Passed 10/15/2013
Series 3
National Commodity Futures Examination
Passed 11/5/1985
Series 24
General Securities Principal Examination
Passed 10/4/2018

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
Source

Emerson Equity LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

EMERSON EQUITY LLCCurrent
11/15/2013Irvine, CA
MAPLETON CAPITAL MANAGEMENT, LLC
4/24/200112/11/2013Aliso Viejo, CA
OCEAN PARK CAPITAL MANAGEMENT, LLC
4/23/200112/11/2013Aliso Viejo, CA
MAPLETON CAPITAL MANAGEMENT, LLC
4/24/200112/31/2005Los Angeles, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Forrest James has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Forrest James - Financial Advisor in Irvine, CA | AdvisorFinder