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CM

Christopher P. Mullahy

UMERGENCE LLC
Plantsville, CT 06479
Some features on this profile are disabled
CRD#: 1916507
CM

Professional summary

Christopher Patrick Mullahy, who also goes by Chris Patrick Mullahy, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1989. Christopher has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Patrick Mullahy

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 Christopher Patrick Mullahy'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

October 2, 2024 - Present

UMERGENCE LLC

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

December 16, 2021 - August 2, 2024

LPS CAPITAL LLC

BD
CRD#: 155246
NEW YORK, NY
Past

January 28, 2019 - July 22, 2021

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
Boston, MA
Past

September 30, 2010 - September 29, 2015

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
BOSTON, MA
Past

April 8, 2008 - August 17, 2010

GE INVESTMENT DISTRIBUTORS, INC

BD
CRD#: 32087
STAMFORD, CT
Past

June 22, 2005 - September 17, 2007

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

June 10, 2004 - June 20, 2005

MELLON FUNDS DISTRIBUTOR, L.P.

BD
CRD#: 39414
BOSTON, MA
Past

February 15, 1999 - June 14, 2005

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

April 28, 1994 - February 4, 1999

GE INVESTMENT DISTRIBUTORS, INC

BD
CRD#: 32087
STAMFORD, CT
Past

March 8, 1991 - June 29, 1994

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

June 22, 1989 - March 8, 1991

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

March 21, 1989 - June 20, 1989

FIDELITY DISTRIBUTORS CORPORATION

BD
CRD#: 6848

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
Massachusetts
(10/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/11/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/29/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/29/2015
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/5/1992
General Securities Sales Supervisor Examination (Options Module & General Module)
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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