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Richard Andrew Borba

Investment Adviser Representative at EMERSON EQUITY LLC

Lodi, CACRD #811527Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
50 yrs
States Registered
2 states
Exams Passed
7

Professional summary

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

Richard Andrew Borba has worked in the securities industry since 1976. They are registered to provide investment advisory services in California and Oregon.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
CaliforniaOregon
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 4/30/1999
Series 63
Uniform Securities Agent State Law Examination
Passed 9/19/1995
Series 22
Direct Participation Programs Representative Examination
Passed 1/2/2023
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/18/1999
Series 1
Registered Representative Examination
Passed 8/21/1975

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
10/8/2024Lodi, CA
EMERSON EQUITY LLCCurrent
10/7/2024Lodi, CA
PORTSMOUTH FINANCIAL SERVICES, INC.
1/11/202410/1/2024Lodi, CA
ARETE WEALTH ADVISORS, LLC
3/31/20231/24/2024Lodi, CA
CENTER STREET ADVISORS, INC.
6/22/20216/13/2023Lodi, CA
LIFEPRO ASSET MANAGEMENT
10/27/20206/21/2021Lodi, CA
CENTER STREET ADVISORS, INC.
4/12/201610/26/2020Lodi, CA
ON INVESTMENT MANAGEMENT CO
11/19/201012/31/2012Oakland, CA
QA3 FINANCIAL LLC
4/19/200210/29/2010Oakland, 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. 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.

Richard Andrew Borba - Financial Advisor in Lodi, CA | AdvisorFinder