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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

KEVIN FRANCIS HUGHES

Advisor at EMERSON EQUITY LLC

Irvine, CA | San Diego, CA

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Search this name across graphsid dfx:ria:84cd002c-42a2-ae38-878e-6f43d115acef

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 23, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EMERSON EQUITY LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 22, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 22, 1982
First registration: Nov 23, 1999
Dual registered: yes, broker-dealer
Other names: KEVIN FRANCIS (JR) HUGHES
IAPD individual key: 1073729

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EMERSON EQUITY LLC	Bd affiliated wealth	Jan 1, 2025	n/a	yes	Irvine, CA\|San Diego, CA	Current employment
WESTPARK CAPITAL, INC.	Independent wealth	May 24, 2018	Mar 21, 2019	no	Irvine, CA\|Los Angeles, CA	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Sep 28, 2017	May 21, 2018	no	SAN DIEGO, CA	Previous registration
PROBABILITIES FUND MANAGEMENT, LLC	Former SEC adviser	Aug 22, 2016	Jun 12, 2017	no	San Diego, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 11, 2010	Apr 21, 2015	no	LA JOLLA, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Dec 8, 2003	Jan 20, 2010	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 23, 1999	Nov 25, 2003	no	LA JOLLA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESTPARK CAPITAL, INC.	EMERSON EQUITY LLC	Mar 21, 2019	Jan 1, 2025	2,113	Firm change after gap	RIA to ibd
INDEPENDENT FINANCIAL GROUP, LLC	WESTPARK CAPITAL, INC.	May 21, 2018	May 24, 2018	3	Firm change	Ibd to RIA
PROBABILITIES FUND MANAGEMENT, LLC	INDEPENDENT FINANCIAL GROUP, LLC	Jun 12, 2017	Sep 28, 2017	108	Firm change	Other
UBS FINANCIAL SERVICES INC.	PROBABILITIES FUND MANAGEMENT, LLC	Apr 21, 2015	Aug 22, 2016	489	Firm change after gap	Other
WELLS FARGO INVESTMENTS, LLC	UBS FINANCIAL SERVICES INC.	Jan 20, 2010	Jan 11, 2010	-9	Firm change	Other
MORGAN STANLEY DW INC.	WELLS FARGO INVESTMENTS, LLC	Nov 25, 2003	Dec 8, 2003	13	Firm change	Other

Relationships

Registered with (7)

→ EMERSON EQUITY LLCRegistered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ WESTPARK CAPITAL, INC.Registered adviserregistration: previous registration
May 24, 2018 to Mar 21, 2019factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Sep 28, 2017 to May 21, 2018factForm ADV
→ PROBABILITIES FUND MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 22, 2016 to Jun 12, 2017factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 11, 2010 to Apr 21, 2015factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Dec 8, 2003 to Jan 20, 2010factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 23, 1999 to Nov 25, 2003factForm ADV

Dated events

No dated event names this entity yet.