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CFP
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CFP

Shirley Wong

Emerson Equity LLC
18 Years of Experience
Daly City, CA
14 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Shirley Wong is a CFP-designated registered investment advisor at Emerson Equity LLC, based in Daly City, CA, with 18 years of industry experience. Shirley 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

333 Gellert Blvd, Suite 201, Daly City, CA, 94015

Get directions

History

Regulatory History (14)
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
September 2026
Pending
Customer Dispute
August 2026
Pending
Customer Dispute
January 2026
Withdrawn
Customer Dispute
March 2025
Settled
Customer Dispute
February 2025
Settled
Customer Dispute
January 2025
Settled
Customer Dispute
July 2024
Pending
Customer Dispute
December 2023
Withdrawn
Customer Dispute
April 2023
Withdrawn
Customer Dispute
January 2023
Settled
Customer Dispute
September 2022
Settled
Customer Dispute
August 2022
Settled
Customer Dispute
June 2022
Withdrawn
Customer Dispute
June 2022
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Shirley is the President and an insurance broker at AK Advisors, Inc. She sells fixed insurance, long-term care, fixed index annuities, medical insurance, and property & casualty insurance, dedicating about a quarter of her time to this activity.

Employment History
Current Registrations
Emerson Equity LLC
April 2024 - Present · 2 yrs 6 mos
Emerson Equity LLC
April 2024 - Present · 2 yrs 6 mos
Emerson Equity LLCBroker
April 2024 - Present · 2 yrs 6 mos
Previous Registrations
Ni Advisors
November 2014 - May 2024 · 9 yrs 6 mos
Ni AdvisorsBroker
January 2014 - May 2024 · 10 yrs 4 mos
Ni AdvisorsBroker
January 2011 - December 2012 · 1 yr 11 mos
World Group Securities, INC.Broker
September 2007 - February 2009 · 1 yr 5 mos
Citicorp Investment ServicesBroker
September 2005 - February 2007 · 1 yr 5 mos
AXA Advisors, LLC
January 2005 - September 2005 · 8 mos
AXA Advisors, LLCBroker
December 2004 - September 2005 · 9 mos
State Registrations1 state
CA
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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