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155 Bovet Road, Suite 725, San Mateo, CA 94402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2015-11-13 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Emerson Equity Llc | San Mateo | CA | 11/2015 | Present |
| Jc Financial Strategies | Westlake Village | CA | 09/2014 | 09/2018 |
| Breakwater Capital (Formerly Known As Jc Financial) | Irvine | CA | 09/2018 | Present |
1) BREAKWATER CAPITAL, LLC ; INVESTMENT RELATED, 508 ½ GOLDENROD AVE., CORONA DEL MAR, CA 92625, PERSONAL INVESTING, OWNER, INVESTMENT DECISIONS AND TRACKING, 0-5 HRS A MONTH, 0 HOURS DURING SECURITIES TRADING HOURS, 01/2024 2)NAME OF OTHER COMPANY: BREAKWATER CAPITAL (FORMERLY KNOWN AS JC FINANCIAL STRATEGIES); IS OTHER BUSINESS INVESTMENT RELATED; YES; ADDRESS OF OTHER BUSINESS: IRVINE, CA 92618; NATURE OF OTHER BUSINESS: S-CORP USED BY APPLICANT TO MARKET SECURITIES RELATED PRODUCTS OFFERED THROUGH EMERSON EQUITY LLC AS WELL AS INSURANCE PRODUCTS OFFERED THROUGH VARIOUS INSURANCE COMPANIES; POSITION WITH OTHER BUSINESS: PRESIDENT; START DATE: 09/2018; APPROXIMATE NUMBER OF HOURS DEVOTED TO OTHER BUSINESS: 160 HOURS; NUMBER OF HOURS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS: 7.5 PER DAY; DUTIES RELATING TO OTHER BUSINESS: MARKET SECURITY PRODUCTS AS WELL AS INSURANCE PRODUCTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2010-12-29 |
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