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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

DOUGLAS M ZATOR

Advisor at EMERSON EQUITY LLC

Irvine, CA | SAN MATEO, CA | Newport Beach, CA

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Search this name across graphsid dfx:ria:b990e50f-dc4a-918b-64ab-621af1a4e647

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Dec 7, 2015 to Sep 15, 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: Oct 24, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 24, 2014
First registration: Dec 7, 2015
Dual registered: yes, broker-dealer
Other names: Douglas Zator|DOUG M ZATOR|DOUGLAS MICHAEL ZATOR|Douglas M Zator
IAPD individual key: 6321246

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	Dec 7, 2023	n/a	yes	Newport Beach, CA\|SAN MATEO, CA\|Irvine, CA	Current employment
ARKADIOS WEALTH ADVISORS	Bd affiliated wealth	Aug 9, 2023	Dec 11, 2023	no	Newport Beach, CA	Previous registration
EMERSON EQUITY LLC	Bd affiliated wealth	Nov 19, 2021	Aug 15, 2023	no	Costa Mesa, CA\|Irvine, CA\|Newport Beach, CA	Previous registration
QUINCY WELLS ADVISORS, LLC	Independent wealth	Nov 11, 2020	Nov 18, 2021	no	Costa Mesa, CA\|CHICAGO, IL	Previous registration
CANTOR FITZGERALD INVESTMENT ADVISORS	Mixed wealth	Nov 6, 2018	Nov 12, 2020	no	NEWPORT, CA\|NEW YORK, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	May 23, 2017	Nov 9, 2018	no	CHICAGO, IL\|Chicago, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 30, 2016	Mar 9, 2017	no	CHICAGO, IL	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Dec 7, 2015	Jun 23, 2016	no	DOWNERS GROVE, IL\|CHICAGO, IL	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
ARKADIOS WEALTH ADVISORS	EMERSON EQUITY LLC	Dec 11, 2023	Dec 7, 2023	-4	Firm change	Ibd to ibd
EMERSON EQUITY LLC	ARKADIOS WEALTH ADVISORS	Aug 15, 2023	Aug 9, 2023	-6	Firm change	Ibd to ibd
QUINCY WELLS ADVISORS, LLC	EMERSON EQUITY LLC	Nov 18, 2021	Nov 19, 2021	1	Firm change	RIA to ibd
CANTOR FITZGERALD INVESTMENT ADVISORS	QUINCY WELLS ADVISORS, LLC	Nov 12, 2020	Nov 11, 2020	-1	Firm change	RIA to RIA
J.P. MORGAN SECURITIES LLC	CANTOR FITZGERALD INVESTMENT ADVISORS	Nov 9, 2018	Nov 6, 2018	-3	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Mar 9, 2017	May 23, 2017	75	Firm change	Wirehouse to wirehouse
MSI FINANCIAL SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 23, 2016	Jun 30, 2016	7	Firm change	Other

Relationships

Registered with (7)

→ EMERSON EQUITY LLCRegistered adviserregistration: previous registration
Nov 19, 2021 to Aug 15, 2023factForm ADV
→ ARKADIOS WEALTH ADVISORSRegistered adviserregistration: previous registration
Aug 9, 2023 to Dec 11, 2023factForm ADV
→ QUINCY WELLS ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 11, 2020 to Nov 18, 2021factForm ADV
→ CANTOR FITZGERALD INVESTMENT ADVISORSRegistered adviserregistration: previous registration
Nov 6, 2018 to Nov 12, 2020factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
May 23, 2017 to Nov 9, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 30, 2016 to Mar 9, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Dec 7, 2015 to Jun 23, 2016factForm ADV

Dated events

Occurred
Dec 11, 2023
Advisor changed firm
Douglas M Zator left Arkadios Wealth Advisors for Emerson Equity Llc (registered 2023-12-07)
Form ADVobserved 5 days ago
Occurred
Aug 15, 2023
Advisor changed firm
Douglas M Zator left Emerson Equity Llc for Arkadios Wealth Advisors (registered 2023-08-09)
Form ADVobserved 5 days ago