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Kathleen Frances Morrissey

Investment Adviser Representative at EMERSON EQUITY LLC

San Mateo, CACRD #1771747Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
25 states
Exams Passed
6

Professional summary

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

Kathleen Frances Morrissey has worked in the securities industry since 1993. They are registered to provide investment advisory services in 25 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 25 states
ArizonaArkansasCaliforniaColoradoDistrict of ColumbiaFloridaGeorgiaHawaiiIndianaLouisianaMarylandMassachusettsMinnesotaMissouriNebraskaNevadaNew YorkNorth CarolinaOhioOklahomaOregonSouth DakotaTexasVermontWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/26/2003
Series 63
Uniform Securities Agent State Law Examination
Passed 10/1/2001
Series 79
Investment Banking Registered Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 12/19/1987
Series 24
General Securities Principal Examination
Passed 2/10/2005

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
12/20/2005San Mateo, CA
GIRARD SECURITIES, INC.
7/21/200412/31/2005Half Moon Bay, CA
BANC OF AMERICA INVESTMENT SERVICES, INC.
2/28/20037/26/2004San Mateo, 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. Kathleen Frances Morrissey 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.

Kathleen Frances Morrissey - Financial Advisor in San Mateo, CA | AdvisorFinder