DAVID MARTIN BEACH is currently employed as a Broker and/or Investment Adviser at EMERSON EQUITY LLC located at 155 BOVET ROAD, SUITE 725, SAN MATEO, CA, 94402.
DAVID MARTIN BEACH has worked at EMERSON EQUITY LLC since January 10, 2018
Disclosure History
DAVID MARTIN BEACH has 12 Disclosure Event(s).
Date: October 25, 2016 Category: Judgment / Lien Judgment/Lien Amount: $23,019.00 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: July 14, 2016 Category: Judgment / Lien Judgment/Lien Amount: $19,139.00 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: April 22, 2016 Category: Judgment / Lien Judgment/Lien Amount: $59,093.00 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: January 06, 2015 Category: Judgment / Lien Judgment/Lien Amount: $50,824.00 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: May 28, 2014 Category: Judgment / Lien Judgment/Lien Amount: $11,691.00 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: October 16, 2013 Category: Judgment / Lien Judgment/Lien Amount: $13,839.00 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: November 29, 2011 Category: Judgment / Lien Judgment/Lien Amount: $116,356.00 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: November 14, 2011 Category: Judgment / Lien Judgment/Lien Amount: $52,196.00 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: July 14, 2011 Category: Judgment / Lien Judgment/Lien Amount: $143,015.17 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: July 14, 2011 Category: Judgment / Lien Judgment/Lien Amount: $144,935.27 Judgment/Lien Type: Tax Broker Comment: Lien represents taxes, penalties and interest. Applicant was not registered at the time Applicant learned of the liens.
Date: December 07, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT A VARIABLE ANNUITY TRANSACTION FROM SEPTEMBER 2007 WAS UNSUITABLE. Broker Comment: Claim was outright denied and customer never pursued what Broker Dealer and Applicant deemed to be frivolous claims.
Date: June 06, 2005 Category: Customer Dispute Allegations: CUSTOMER IS CONCERNED OVER LOSS IN ACCOUNT VALUE FROM 7/2004 TO 10/2004. Damage Amount Requested: $42,000.00 Broker Comment: MR. BEACH DENIES ANY WRONGDOING.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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