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James Whitson

Emerson Equity LLC
40 Years of Experience
Santa Barbara, CA
1 DisclosureBroker
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James Whitson is a registered investment advisor at Emerson Equity LLC, based in Santa Barbara, CA, with 40 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 620 clients with $320M in assets under management.

Emerson Equity LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
118 advisors
Number of Clients
620 clients
Average Client Portfolio
$519K average
Assets Under Management
$321.7M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Fees are negotiable with a maximum fee of 2.5% charged annually (billed quarterly at up to 0.625% per quarter).

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

55 Hitchcock Way, Suite 212, Santa Barbara, CA, 93105

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2026
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is the president of a real estate sales business in Santa Barbara, CA, since 1986. He dedicates about 10-20% of his time to this investment-related activity.

Employment History
Current Registrations
Emerson Equity LLC
October 2019 - Present · 7 yrs
Emerson Equity LLCBroker
October 2019 - Present · 7 yrs
Previous Registrations
Oak Tree Securities, INC.Broker
February 2015 - October 2019 · 4 yrs 8 mos
Heritage Advisory Services, INC.
October 2011 - June 2012 · 8 mos
Heritage Financial Systems, INC.Broker
September 2011 - December 2014 · 3 yrs 3 mos
Nelsonreid, INC.Broker
August 2010 - August 2011 · 1 yr
United Equity Securities, LLCBroker
February 2010 - August 2010 · 6 mos
Workman Securities CorporationBroker
August 2008 - January 2010 · 1 yr 5 mos
Capwest Securities, INC.Broker
June 2007 - August 2008 · 1 yr 2 mos
Wedbush Morgan Securities INC.Broker
June 2007 - July 2007 · 1 mo
Brookstreet Securities CorporationBroker
October 1998 - June 2007 · 8 yrs 8 mos
Sunamerica Securities, INC.Broker
May 1992 - October 1998 · 6 yrs 5 mos
Anchor National Financial Services, INC.Broker
April 1991 - May 1992 · 1 yr 1 mo
Titan/value Equities Group, INC.Broker
November 1986 - September 1990 · 3 yrs 10 mos
North America Securities CorporationBroker
April 1986 - October 1987 · 1 yr 6 mos
O. R. Securities, INC.Broker
October 1985 - April 1986 · 6 mos
Wzw Financial Services, INC.Broker
June 1985 - October 1985 · 4 mos
State Registrations4 states
CAFLHITN
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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