Robert F. Carr

UMERGENCE LLC

Plantsville, CT 06479

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CRD#: 2641844

Professional summary

Robert Franklin Carr, who also goes by Robert Carr, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2012. Robert has worked at 9 firms and has passed the Series 66, Series 65, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Carr

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 Robert Franklin Carr'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 3, 2024 - Present

UMERGENCE LLC

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

CRD#: 284368

Plantsville, CT

Past

July 18, 2022 - November 1, 2023

JAVELIN SECURITIES, LLC

CRD#: 107473

COHASSET, MA

Past

September 9, 2021 - August 1, 2022

G.DISTRIBUTORS, LLC

CRD#: 155071

RYE, NY

Past

September 6, 2019 - August 11, 2021

HAMILTON LANE SECURITIES LLC

CRD#: 281510

CONSHOHOCKEN, PA

Past

September 15, 2016 - February 28, 2018

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

LOS ANGELES, CA

Past

March 21, 2016 - September 9, 2016

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

October 26, 2015 - February 8, 2016

CABOT LANE LLC

CRD#: 143301

NEW YORK, NY

Past

April 7, 2015 - October 27, 2015

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

July 5, 2012 - March 10, 2015

ALLIANZ GLOBAL INVESTORS U.S. LLC

RIA

CRD#: 149003

NEW YORK, NY

Past

February 24, 2012 - March 10, 2015

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

SAN DIEGO, CA

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

South Carolina
(9/3/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/30/2012

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/28/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/2/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/23/2012

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

Robert F. Carr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Franklin Carr's CRS (Customer Relationship Summary).

Certified licenses

Experience

JAVELIN SECURITIES, LLC

G.DISTRIBUTORS, LLC

HAMILTON LANE SECURITIES LLC

TCW FUNDS DISTRIBUTORS LLC

QUASAR DISTRIBUTORS, LLC

CABOT LANE LLC

QUASAR DISTRIBUTORS, LLC

ALLIANZ GLOBAL INVESTORS U.S. LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2012

Series 65

Date: 9/28/1995

SIE

Date: 2/28/2018

Series 3

Date: 8/2/2013

Series 7

Date: 2/23/2012

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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