James Michael Whitson

Employer firm

Emerson Equity LLC CRD 130032

$322M regulatory AUM 100 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Educational seminars
• MANAGEMENT OF PRIVATE PLACEMENT LIFE INSURANCE / INSURANCE DEDICATED FUNDS (SINGLE INVESTOR PRIVATE FUNDS)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2015 → 09/2019
  Oak Tree Securities Inc
  Livermore, CA
• 09/2019 → Present
  Emerson Equity Llc
  San Mateo, CA

Previous Registrations

• 2011-10-31 → 2012-06-27
  Heritage Advisory Services, Inc.
  Santa Barbara, CA
  Malvern, PA

Other Businesses

1. JAMES MICHAEL WHITSON REAL ESTATE/SANTA BARBARA, CA 93105/PRESIDENT/SINCE 1986/ INVESTMENT RELATED/REAL ESTATE SALES/HOURS PER MONTH VARIES 20 hours per month. ASSIST/SANTA BARBARA, CA 93105

Exams

• S63 Uniform Securities Agent State Law Examination
  2001-10-19
• S65 Uniform Investment Adviser Law Examination
  1998-10-01

Other Names

• Jim Whitson