Michael A. Rodeno

UMERGENCE LLC

Plantsville, CT 06479

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CRD#: 2331886

Professional summary

Michael Anthony Rodeno, who also goes by Michael Rodeno, 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 1993. Michael has worked at 14 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Rodeno

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 Anthony Rodeno'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

September 13, 2021 - Present

UMERGENCE LLC

Office #1: 1006 S. Main St., Plantsville, CT 06479

CRD#: 284368

Plantsville, CT

Past

April 2, 2021 - June 7, 2021

OLD CITY SECURITIES LLC

CRD#: 171910

NEW YORK, NY

Past

February 10, 2020 - April 5, 2021

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

NEW YORK, NY

Past

August 19, 2017 - August 2, 2019

FRONTIER SOLUTIONS, LLC

CRD#: 136102

RICHMOND, VA

Past

February 20, 2017 - August 17, 2017

STRATFORD PARTNERS

CRD#: 164954

New york, NY

Past

August 30, 2013 - February 20, 2015

ODEON CAPITAL GROUP LLC

CRD#: 148493

LOS ANGELES, CA

Past

August 22, 2012 - May 14, 2013

B. RILEY & CO., LLC

CRD#: 40355

LOS ANGELES, CA

Past

March 7, 2011 - November 22, 2011

TEJAS SECURITIES GROUP, INC.

CRD#: 36705

LOS ANGELES, CA

Past

July 14, 2010 - March 3, 2011

BTIG, LLC

CRD#: 122225

LOS ANGELES, CA

Past

July 12, 2010 - July 12, 2010

BTIG, LLC

CRD#: 122225

LOS ANGELES, CA

Past

April 3, 2006 - July 8, 2010

IMPERIAL CAPITAL, LLC

CRD#: 43744

LOS ANGELES, CA

Past

March 27, 2002 - March 22, 2006

UPHOLD SECURITIES INC.

CRD#: 34071

BOSTON, MA

Past

September 22, 1999 - April 3, 2001

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

April 30, 1996 - March 11, 1999

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 6, 1993 - April 30, 1996

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

State Registrations and Notice Filings

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

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

California
(9/13/2021)

Connecticut
(9/13/2021)

Exams

State Security Law Exam

Series 63

Date: 4/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/5/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

UMERGENCE LLC

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UMERGENCE HOLDINGS LLC	SOLE MEMBER
CIARCIA, JEFFREY	CFO
LOGAN, DAVID M	CEO, 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.

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Advisor Monitoring

Firm Stability Insights

Michael A. Rodeno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Anthony Rodeno's CRS (Customer Relationship Summary).

Certified licenses

Experience

OLD CITY SECURITIES LLC

TERRANOVA CAPITAL EQUITIES, INC

FRONTIER SOLUTIONS, LLC

STRATFORD PARTNERS

ODEON CAPITAL GROUP LLC

B. RILEY & CO., LLC

TEJAS SECURITIES GROUP, INC.

BTIG, LLC

BTIG, LLC

IMPERIAL CAPITAL, LLC

UPHOLD SECURITIES INC.

ABN AMRO INCORPORATED

LEHMAN BROTHERS INC.

TUCKER ANTHONY INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/2006

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/5/1993

FINRA

Current Firm

UMERGENCE LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

UMERGENCE LLC

TRUST BUT VERIFY

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