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George Wallace Smith

Investment Adviser Representative at EMERSON EQUITY LLC

Englewood, COCRD #4844156Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
40 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 40 states
ArizonaArkansasCaliforniaColoradoConnecticutFloridaGeorgiaIdahoIllinoisIndianaIowaKansasLouisianaMaineMarylandMassachusettsMichiganMinnesotaMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWyoming
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 6/11/2020
Series 65
Uniform Investment Adviser Law Examination
Passed 6/9/2004
Series 7
General Securities Representative Examination
Passed 2/11/2020
Series 22
Direct Participation Programs Representative Examination
Passed 10/7/2019
SIE
Securities Industry Essentials Examination
Passed 5/4/2019

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.

RIDGEGATE ADVISORS, LLCCurrent
7/28/2025Englewood, CO
AE WEALTH MANAGEMENT, LLC
2/4/202012/23/2025Englewood, CO
RIDGEGATE FINANCIAL, LLC
8/1/20094/21/2022Greenwood Village, CO
SIMONDAVIS ASSET MANAGEMENT, INC.
3/28/20053/28/2008Denver, CO
SENIOR FINANCE & HEALTH, LLC
9/27/20042/7/2005Highlands Ranch, CO

Official records & sources

Data as of August 10, 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. George Wallace Smith 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.

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