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TS

Timothy M. Stoddart

UMERGENCE LLC
Plantsville, CT 06479
Some features on this profile are disabled
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Miller Stoddart'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

June 17, 2024 - Present

UMERGENCE LLC

Office #1: 1006 S. Main St., Plantsville, CT 06479
BD
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
RR
Series 63
Date: 3/22/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/26/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/4/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/24/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/24/1990
General Securities Principal 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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