There are options for clients of Emerson Equity LLC broker George Smith (CRD# 4844156), who is accused of real estate security losses. He has been registered with Emerson Equity LLC in Englewood, Colorado, since 2020, and Ridgegate Advisors, LLC in Englewood, Colorado, since 2025. He was registered with AE Wealth Management, LLC in Englewood, Colorado, from 2020 to 2025, Ridgegate Financial, LLC in Greenwood Village, Colorado, from 2009 to 2022, Madison Avenue Securities, LLC in Greenwood Village, Colorado, from 2019 to 2020, and Colorado Financial Service Corporation in Centennial, Colorado, from October to December 2019. He was registered with SimonDavis Asset Management, Inc. in Denver, Colorado, from 2005 to 2008, when he was terminated regarding, “violations of internal policies & procedures. violation of internal code of ethics. possible violation of state and SEC rules and regulations.”
In October 2008, the Colorado Division of Securities sanctioned him to a censure following allegations that “While at Simon Davis, Smith borrowed funds from Smith’s and Simon Davis’ client to fund start up costs of Smith’s company, Health and Wealth, LLC.”
George Smith Customer Complaints
He has been the subject of three customer complaints in 2025, according to his CRD report:
November 2025. “Breach of Fiduciary Duty, Negligence and violation of Regulation Best Interest.” The case is currently pending. The complaint was regarding real estate securities, and it took place while he was registered with Emerson Equity LLC.
November 2025. “Breach of fiduciary duty; suitability/Regulation Best Interest; material misrepresentations, omission of material information; Federal Securities Law; Colorado Securities Act; Violation of FINRA Rules 2210;, IM-2310-2, and 2020;.” The case is currently pending. The complaint was regarding real estate securities, and it took place while he was registered with Emerson Equity LLC. The complaint was regarding real estate securities, and it took place while he was registered with Emerson Equity LLC.
September 2025. “Violation of Common Law Fraud, Breach of Fiduciary Duty, Negligence.” The case is currently pending. The complaint was regarding real estate securities, and it took place while he was registered with Emerson Equity LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Emerson Equity LLC may be liable for investment or other losses suffered by George Smith’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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