Richard Andrew Borba

Current Employers

Emerson Equity Llc

155 Bovet Road, Suite 725, San Mateo, CA 94402 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-10-08

CA RA
APPROVED

Since 2024-10-08

Branch Locations

Lodi, CA • United States

9940 Research Drive Suite 200, Irvine, CA 92618 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Financial Dynamics- Self Employed	Lodi	CA	02/1978	Present
Ohio National Financial Services	Cincinnati	OH	02/1996	06/2021
Center Street Advisors, Inc.	Nashville	TN	05/2013	10/2020
Lifepro Asset Management, Llc	San Diego	CA	10/2020	06/2021
Center Street Advisors	Nashville	TN	06/2021	12/2023
Arete Wealth Advisors, Llc	Chicago	IL	03/2023	01/2024
Center Street Securities, Inc.	Nashville	TN	06/2021	12/2023
Allianz	Minneapolis	MN	01/2020	Present
National Western Life Insurance Co	Austin	TX	06/2018	Present
Emerson Equity Llc	San Mateo	CA	10/2024	Present

02/1978 → Present

Financial Dynamics- Self Employed

Lodi, CA
02/1996 → 06/2021

Ohio National Financial Services

Cincinnati, OH
05/2013 → 10/2020

Center Street Advisors, Inc.

Nashville, TN
10/2020 → 06/2021

Lifepro Asset Management, Llc

San Diego, CA
06/2021 → 12/2023

Center Street Advisors

Nashville, TN
03/2023 → 01/2024

Arete Wealth Advisors, Llc

Chicago, IL
06/2021 → 12/2023

Center Street Securities, Inc.

Nashville, TN
01/2020 → Present

Allianz

Minneapolis, MN
06/2018 → Present

National Western Life Insurance Co

Austin, TX
10/2024 → Present

Emerson Equity Llc

San Mateo, CA

Previous Registrations

2024-01-11 → 2024-10-01

Portsmouth Financial Services

San Francisco, CA

Lodi, CA
2023-03-31 → 2024-01-24

Arete Wealth Advisors, Llc

Lodi, CA

Chicago, IL
2021-06-22 → 2023-06-13

Center Street Advisors, Inc.

Lodi, CA
2020-10-27 → 2021-06-21

Lifepro Asset Management

Lodi, CA

San Diego, CA
2016-04-12 → 2020-10-26

Center Street Advisors, Inc.

Lodi, CA

Nashville, TN
2010-11-19 → 2012-12-31

On Investment Management Co

Oakland, CA

Cincinnati, OH
2002-04-19 → 2010-10-29

Qa3 Financial Llc

Oakland, CA

Omaha, NE

Concord, CA

Lafayette, CA

Other Businesses

1) FINANCIAL DYNAMICS, DBA-INVESTMENT RELATED, 2331 GRENOBLE DRIVE, LODI, CA 95242, DBA THROUGH WHICH SECURITIES, INSURANCE AND ADVISORY SERVICES ARE OFFERED THROUGH EMERSON EQUITY LLC., SOLE PROPRIETOR, SALES OF SECURITIES, INSURANCE AND ADVISORY SERVICES THROUGH EMERSON EQUITY LLC., 40HRS MONTH, 0 HRS DURING SECURITIES TRADING HOURS, 1978. 2) ALLIANZ LIFE AND ANNUITY-INVESTMENT RELATED, 5701 GOLDEN HILLS DR., MINNEAPOLIS, MN 55416, FIXED INSURANCE SALES, INSURANCE SALES REP, OFFERING RETIREMENT INCOME PLANNING FOR INDIVIDUALS, 35 HRS MONTHLY, 0 HRS DURING SECURITIES TRADING HOURS, 01/202 3) NATIONAL WESTERN LIFE INSURANCE COMPANY-INVESTMENT RELATED, BUILDING 3, 10801 N MOPAC EXPRESSWAY, AUSTIN, TX 78720, FIXED ANNUITY, LIFE AND ANNUITY SALES., INSURANCE SALES REP/SELF-EMPLOYED, SERVICE EXISTING CLIENTS WITH POLICY INFORMATION AND INCOME ELECTIONS, 1 HR MONTHLY, 0 HOURS DURING SECURITIES TRADING HOURS, 06/2018

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-04-30
S63	Uniform Securities Agent State Law Examination	1995-09-19

S65 Uniform Investment Adviser Law Examination

1999-04-30
S63 Uniform Securities Agent State Law Examination

1995-09-19

Other Names

Rick Borba

View on SEC IAPD