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Zhi Ying Guan

Investment Adviser Representative at EMERSON EQUITY LLC

San Jose, CACRD #7000349Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
6 yrs
States Registered
18 states
Exams Passed
3

Professional summary

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

Zhi Ying Guan has worked in the securities industry since 2020. They are registered to provide investment advisory services in 18 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 18 states
ArizonaCaliforniaColoradoFloridaGeorgiaHawaiiIdahoIllinoisMinnesotaNevadaNew JerseyNew YorkOregonSouth CarolinaTennesseeVirginiaWashingtonWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 8/15/2020
SIE
Securities Industry Essentials Examination
Passed 12/17/2020
Series 7
General Securities Representative Examination
Passed 9/6/2019

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.

EMERSON EQUITY LLCCurrent
12/18/2020San Jose, CA
EMERSON EQUITY LLCCurrent
12/18/2020San Jose, 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. Zhi Ying Guan 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.

Zhi Ying Guan - Financial Advisor in San Jose, CA | AdvisorFinder