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MG

Michael E. Gobes

UMERGENCE LLC
Plantsville, CT 06479
Some features on this profile are disabled
CRD#: 1101067
MG

Professional summary

Michael Edward Gobes is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Edward Gobes's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 25, 2020 - Present

UMERGENCE LLC

Office #1: 1006 S. Main St., Plantsville, CT 06479
BD
CRD#: 284368
Plantsville, CT
Past

February 23, 2018 - March 4, 2019

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

January 20, 2016 - December 18, 2017

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
BOSTON, MA
Past

February 26, 2014 - December 18, 2017

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOSTON, MA
Past

July 29, 2008 - December 19, 2013

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
BOSTON, MA
Past

August 25, 2005 - April 2, 2008

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOSTON, MA
Past

April 3, 1988 - April 18, 1995

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

January 18, 1985 - July 25, 2005

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

March 19, 1983 - December 27, 1984

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/20/2020)
RR
Massachusetts
(4/16/2020)
RR
New York
(4/21/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/4/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/4/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/15/2014
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/22/2014
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

UL
UMERGENCE LLC
UMERGENCE LLC

CRD#: 284368 / SEC#: , 8-69801

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1006 S. Main St., Plantsville, CT 06479
Mailing Address
1224 Mill Street, Building B, East Berlin, CT 06023
Phone number
(860) 838-3332
Established
Delaware since 11/17/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UMERGENCE HOLDINGS LLCSOLE MEMBER
CIARCIA, JEFFREYCFO
LOGAN, DAVID MCEO, CCO

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

UMERGENCE LLC

CRD#: 284368Plantsville, CT 06479

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