James Martin Hickey
Investment Adviser Representative at Emerson Equity LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Martin Hickey is an investment adviser representative with Emerson Equity LLC in Las Vegas, NV, where they have been registered since 2019. They have worked in the securities industry since 1988 and have been registered with 19 firms, including Select Capital Corporation and U.S. Select Securities LLC. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
- Broker:
3 states and territories
Arizona, California, Nevada
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Select Capital CorporationSep 2011 – Jun 2019San Juan Capistrano, CA
- Emerson Equity LLCJun 2019 – no end date reportedSan Mateo, CA
- CAI Investments, LLCNov 2019 – no end date reportedLas Vegas, NV
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Emerson Equity LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Estimated blended rate
- 0.025
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Investment advisory, traditional brokerage, annuities and life insurance, private placements, secondary transactions, alternative investments and other private placements, and inception-to-closing private placement platform (managing broker dealer services) for sponsor companies.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 98
- Offices listed on AdvisorFinder:
- 10
- Main office:
- San Mateo, CA
- Founded:
- 2003
- SEC file number:
- 801-120835
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 10, 2026
View full firm profileOther advisors at Emerson Equity LLC
Showing 12 of 98 in the directory
Similar advisors in Las Vegas, NV
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Martin Hickey 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched