Tim Brown: $100K-$500K Complaint Against Emerson Equity Advisor

San Mateo financial advisor Tim Brown (CRD# 1663519) recently received an investor complaint alleging six-figure damages in connection with a corporate bond investment. Financial Industry Regulatory Authority records show that he is a broker with Emerson Equity, having previously registered with Newbridge Securities.

Mr. Brown’s BrokerCheck report one investor complaint. Filed in May 2023, it alleges that as a representative of Emerson Equity, he breached his fiduciary duty and acted negligently in connection with a corporate bond investment. The pending complaint alleged damages between $100,000 and $500,000.

A second disclosure on Mr. Brown’s BrokerCheck report concerns his 1994 sanction by the National Association of Securities Dealers. The sanction alleged that as a representative of Thomas James Associates and Presidential Brokerage, he executed unauthorized transactions in the accounts of public customers. In connection with these findings, he was censured and issued a fine of $5,000.

According to the Financial Industry Regulatory Authority, Tim Brown holds 34 years of securities industry experience. Based in San Mateo, California, he has been a broker with Emerson Equity since 2016. His past registrations include Newbridge Securities Corporation (Cardiff, California; 2013-2016), Newport Coast Securities (Cardiff by the Sea, California; 2011-2013 and 2009-2011), Independent Financial Group (Cardiff, California; 2013), QA3 Financial Corporation (2009), Pacific West Securities (2007-2009), Brookstreet Securities (2006-2007), the Concord Equity Group (2006), First Wall Street (1997-2006), Cohig & Associates (1995-1997), Presidential Brokerage (1994-1995), Thomas James Associates (1990-1994), San Marino Securities (1990), Aesir Securities (1989-1990), the Stuart-James Company (1989), Home Life Insurance Company (1988-1989), and WS Griffith & Company (1988-1989). His credentials include the passage of four securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in California and Florida. Information current as of June 24, 2023.)

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