TS
Timothy M. Stoddart
UMERGENCE LLC
Plantsville, CT 06479
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CRD#: 1894467
TS
Professional summary
Timothy Miller Stoddart, who also goes by Tim Stoddart, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1988. Timothy has worked at 9 firms and has passed the Series 63, Series 65, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tim Stoddart
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.
1) CIM ADVISERS, LLC (CIMA), RIDGEFIELD, CT 06877. INVESTMENT RELATED. STATE REGISTERED INVESTMENT ADVISORY FIRM CRD# 148639. WEBSITE: NONE. FOUNDER & OWNER, EXECUTIVE MANAGEMENT, MANAGING PARTNER & CHIEF COMPLIANCE OFFICER, RIA. COMPENSATION: NO DIRECT COMPENSATION. PARTICIPATE IN BUSINESS PROFIT & LOSS. PERSONAL FINANCIAL INVESTMENT IN THIS ACTIVITY: YES, 90% OWNER. HOURS PER WEEK EXPECTED TO BE DEVOTED TO THIS ACTIVITY: .1 HOURS PER WEEK, POSSIBLE MARKET HOURS. CIMA IS A CONNECTICUT REGISTERED INVESTMENT ADVISORY FIRM. CIMA PROVIDES GENERAL CONSULTING TO UNAFFILIATED RIA'S. CIMA IS CLOSING ITS OPERATIONS AND IS NOT CONDUCTING ANY BUSINESS. THE RIA IS FOR SALE. 2) INVESTMENT MARKETING, INC. (IMI), RIDGEFIELD, CT 06877. INVESTMENT RELATED. CONNECTICUT LICENSED INSURANCE AGENCY. WEBSITE: NONE. FOUNDER/OWNER/PRESIDENT, EXECUTIVE MANAGEMENT, PRESIDENT & DIRECTOR. COMPENSATION: W-2 COMPENSATION: SALARY & COMMISSION. PERSONAL FINANCIAL INVESTMENT IN THIS ACTIVITY: YES, 90% OWNER. HOURS PER WEEK EXPECTED TO BE DEVOTED TO THIS ACTIVITY: .1 HOURS PER WEEK, POSSIBLE MARKET HOURS. IMI IS A LICENSED INSURANCE AGENCY AND WHOLESALE DISTRIBUTOR OF ANNUITIES, MARKET-LINKED CD'S AND LIFE INSURANCE. IMI IS CLOSED TO NEW BUSINESS BUT RECEIVES RESIDUAL INSURANCE COMMISSION PAYMENTS FROM A WHOLESALE BOOK OF BUSINESS. 3) CAPITAL INVESTMENT MARKETING, INC. (CIM), SHERIDAN, WY 82801. LICENSED INSURANCE AGENCY. WEBSITE: NONE. FOUNDER/OWNER/PRESIDENT, EXECUTIVE MANAGEMENT, PRESIDENT & DIRECTOR. COMPENSATION: NO DIRECT COMPENSATION. PARTICIPATE IN BUSINESS PROFIT & LOSS. PERSONAL FINANCIAL INVESTMENT IN THIS ACTIVITY: YES, 90% OWNER. HOURS PER WEEK EXPECTED TO BE DEVOTED TO THIS ACTIVITY: .1 HOURS PER WEEK, POSSIBLE MARKET HOURS. CIM IS A LICENSED INSURANCE AGENCY AND WHOLESALE DISTRIBUTOR OF ANNUITIES, MARKET-LINKED CD'S AND LIFE INSURANCE. CIM IS CLOSED TO NEW BUSINESS AND IS WINDING DOWN ITS OPERATIONS EFFECTIVE 06/30/2022. 4) CIM INTERNATIONAL, LLC (CIM INT), RIDGEFIELD, CT 06877. INVESTMENT RELATED. WHOLESALE MARKETING, DISTRIBUTION & CONSULTING FOR INTERNATIONAL LIFE INSURERS AND ASSET MANAGERS. WEBSITE: NONE. FOUNDER/OWNER/PRESIDENT, EXECUTIVE MANAGEMENT, MANAGING PARTNER. COMPENSATION: NO DIRECT COMPENSATION. PARTICIPATE IN BUSINESS PROFIT & LOSS. PERSONAL FINANCIAL INVESTMENT IN THIS ACTIVITY: YES, 90% OWNER. HOURS PER WEEK EXPECTED TO BE DEVOTED TO THIS ACTIVITY: 0 HOURS PER WEEK, POSSIBLE MARKET HOURS. CIM INT IS CLOSED TO NEW BUSINESS AND IS WINDING DOWN ITS OPERATIONS EFFECTIVE 06/30/2022. 5) FLATTS BRIDGE INVESTMENT SERVICES, LTD. (FBIS), HAMILTON, BERMUDA. INVESTMENT RELATED. WHOLESALE MARKETING, DISTRIBUTION & CONSULTING FOR INTERNATIONAL LIFE INSURERS AND ASSET MANAGERS. WEBSITE: NONE. FOUNDER/OWNER, EXECUTIVE MANAGEMENT, PRESIDENT. COMPENSATION: NO DIRECT COMPENSATION. PARTICIPATE IN BUSINESS PROFIT AND LOSS. PERSONAL FINANCIAL INVESTMENT IN THIS ACTIVITY: YES, 100% OWNER. HOURS PER WEEK EXPECTED TO BE DEVOTED TO THIS ACTIVITY: 0 HOURS PER WEEK, POSSIBLE MARKET HOURS. FBIS PROVIDES WHOLESALE DISTRIBUTION AND CONSULTING SERVICES TO NON-U.S. LIFE INSURERS, ASSET MANAGERS AND PRIVATE FUNDS. FBIS IS CURRENTLY CLOSED AND WINDING DOWN. 6) PS ART LLC (PSA), RIDGEFIELD, CT. ARTIST STUDIO. WEBSITE: WWW.PAMELASTODDART.COM. SECRETARY/DIRECTOR. COMPENSATION: NO DIRECT COMPENSATION. PARTICIPATE IN BUSINESS PROFIT AND LOSS. PERSONAL FINANCIAL INVESTMENT IN THIS ACTIVITY: YES, 10% OWNER. HOURS PER WEEK EXPECTED TO BE DEVOTED TO THIS ACTIVITY: 0.25 HOURS PER WEEK, POSSIBLE MARKET HOURS. 7) FOUR TREES MANAGEMENT COMPANY (FTM) BOARD DIRECTOR AND ADVISOR COMPENSATION: NO DIRECT COMPENSATION. PERSONAL FINANCIAL INVESTMENT IN THIS ACTIVITY: YES, 9.95% OWNER. HOURS PER WEEK EXPECTED TO BE DEVOTED TO THIS ACTIVITY: .5 HOURS PER WEEK, POSSIBLE MARKET HOURS. RESIGNING FROM BOARD EFFECTIVE 05/30/22, WILL REMAIN AN ADVISOR
CRS (Client Relationship Summary) - BD
Click below to view Timothy Miller Stoddart's 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®
NoneExperience
Current
June 17, 2024 - Present
UMERGENCE LLC
Office #1: 1006 S. Main St., Plantsville, CT 06479BD
CRD#: 284368
Plantsville, CT
Past
April 25, 2022 - July 21, 2022
SYMBRIDGE CAPITAL LLC
BD
CRD#: 307430
GREENWICH, CT
Past
December 3, 2016 - January 2, 2018
PICKWICK CAPITAL PARTNERS, LLC
BD
CRD#: 130672
WHITE PLAINS, NY
Past
June 29, 2011 - December 31, 2016
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
April 13, 2009 - May 3, 2022
CIM ADVISERS, LLC
RIA
CRD#: 148639
RIDGEFIELD, CT
Past
May 31, 2005 - February 8, 2007
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
April 14, 2005 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
RIA
CRD#: 5249
NEW YORK, NY
Past
March 1, 2004 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
NAPA, CA
Past
March 27, 1992 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
November 23, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
November 23, 1988 - December 31, 1991
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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(6/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
Red Flags
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