Bruce Beetz: $300K Complaint Against Emerson Equity Advisor

Hollister, California financial advisor Bruce Beetz (CRD# 1527269) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Emerson Equity, having previously been registered with Oak Tree Securities.

Mr. Beetz’s BrokerCheck report discloses one investor complaint. Filed in June 2024, it alleges that as a representative of Emerson Equity, he recommended an unsuitable corporate bond investment. The pending complaint alleges damages of $300,000.

Emerson Equity’s website includes a page describing the firm’s background and mission. “As a full-service brokerage firm launched in 2003, Emerson Equity was founded with the vision of providing complete financial planning and highly personalized investment management services and inception-to-closing managing broker dealer services,” it explains. “Today, Emerson Equity continues to enjoy strong growth, with more than 150 investment professionals in locations across the country.”

According to the Financial Industry Regulatory Authority, Bruce Beetz holds 38 years of securities industry experience. Based in Hollister, California, he has been registered as a broker with Emerson Equity since 2019. His past registrations include Oak Tree Securities (Paicines, California; 2001-2019), Royal Alliance Associates (Jersey City; 1991-2001), and Security First Financial (Newport Beach, California; 1986-1991). His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Municipal Fund Securities Principal Examination, or Series 51; the Registered Representative Examination, or Series 1; 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 Arizona, California, Colorado, Florida, Hawaii, Idaho, Iowa, Kansas, Louisiana, Nevada, North Carolina, Oregon, Tennessee, Texas, Washington, and Wisconsin. (Information current as of June 16, 2024.)

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