Richard Andrew Borba
Investment Adviser Representative at Emerson Equity LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Richard Andrew Borba is an investment adviser representative with Emerson Equity LLC in Lodi, CA, where they have been registered since 2024. They have worked in the securities industry since 1976 and have been registered with 7 firms, including Portsmouth Financial Services, Inc. and Arete Wealth Advisors, LLC. They have passed 7 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
- Broker:
2 states and territories
California, Oregon
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.
- Financial Dynamics- SELF EmployedFeb 1978 – no end date reportedLodi, CA
- OHIO National Financial ServicesFeb 1996 – Jun 2021Cincinnati, OH
- Center Street Advisors, Inc.May 2013 – Oct 2020Nashville, TN
- LifePro Asset Management, LLCOct 2020 – Jun 2021San Diego, CA
- Center Street AdvisorsJun 2021 – Dec 2023Nashville, TN
- Arete Wealth Advisors, LLCMar 2023 – Jan 2024Chicago, IL
- Center Street Securities, Inc.Jun 2021 – Dec 2023Nashville, TN
- AllianzJan 2020 – no end date reportedMinneapolis, MN
- National Western Life Insurance CoJun 2018 – no end date reportedAustin, TX
- Emerson Equity LLCOct 2024 – no end date reportedSan Mateo, CA
Official records & sources
Data as of May 30, 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
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Andrew Borba 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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