Stephen P. Brennan
Professional summary
Stephen Peter Brennan, who also goes by Stephen Brennan, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1988. Stephen has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Peter Brennan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2025 - Present
UMERGENCE LLC
Office #1: 1006 S. Main St., Plantsville, CT 06479May 10, 2022 - April 12, 2023
JANNEY MONTGOMERY SCOTT LLC
January 21, 2021 - January 3, 2022
OLIVETREE FINANCIAL, LLC
June 1, 2009 - September 18, 2019
WELLS FARGO SECURITIES, LLC
October 1, 2008 - April 24, 2009
J.P. MORGAN SECURITIES LLC
June 2, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
February 6, 1995 - June 2, 2008
J.P. MORGAN SECURITIES LLC
February 27, 1992 - December 20, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
July 13, 1990 - February 21, 1992
F & G SECURITIES, INC.
January 11, 1989 - May 25, 1990
IFMG SECURITIES, INC.
April 26, 1988 - September 16, 1988
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/21/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/31/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
UMERGENCE LLC
CRD#: 284368 / SEC#: , 8-69801
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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