James Martin Hickey

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	2019-06-14

CA RA
APPROVED

Since 2019-06-14

Branch Locations

1925 Village Center Circle Suite `150, Las Vegas, NV 89134 • United States

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

155 Bovet Road, Suite 725, San Mateo, CA 94402 • US

Disclosures

2 disclosure categories 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Select Capital Corporation	San Juan Capistrano	CA	09/2011	06/2019
Emerson Equity Llc	San Mateo	CA	06/2019	Present
Cai Investments, Llc	Las Vegas	NV	11/2019	Present

09/2011 → 06/2019

Select Capital Corporation

San Juan Capistrano, CA
06/2019 → Present

Emerson Equity Llc

San Mateo, CA
11/2019 → Present

Cai Investments, Llc

Las Vegas, NV

Other Businesses

1)-CAI INVESTMENTS-INVESTMENT RELATED-16481 MURPHY AVENUE, IRVINE, CA 92606-WHOLESALING-ALTERNATIVE INVESTMENTS-SR. VP-CAPITAL MARKETS-8 HOURS DURING SECURITIES TRADING HOURS-WHOLESALE CAI INVESTMENTS PROGRAMS THROUGH BROKER/DEALER/RIA 2) JAMES HICKEY CONSULTING LLC-NOT INVESTMENT RELATED, 4281 SOLACE STREET, LAS VEGAS, NV 89135,TAX PURPOSES, MANAGER, PAYMENT OF BUSINESS EXPENSES, LESS THAN 5 HRS MONTHLY, LESS THAN 5 HRS DURING SECURITIES TRADING HOURS, 02/2026

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-11-19
S63	Uniform Securities Agent State Law Examination	1986-06-02

S66 Uniform Combined State Law Examination

2002-11-19
S63 Uniform Securities Agent State Law Examination

1986-06-02