Ross Williams
Professional Summary
Ross Williams, who also goes by Ross Andrew Williams, is a registered financial advisor currently at UMERGENCE LLC located in Plantsville, Connecticut. Ross is registered as a RR (Registered Representative) and started their career in finance in 1995. Ross has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ross Andrew Williams
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
UMERGENCE LLC
Contact Information
Main Address
1006 S. Main St., Plantsville, CT 06479Mailing Address
1224 Mill Street, Building B, East Berlin, CT 06023Phone Number
(860) 838-3332Established
Delaware since 11/17/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UMERGENCE HOLDINGS LLC | SOLE MEMBER | — |
| CIARCIA, JEFFREY | CFO | — |
| LOGAN, DAVID M | CEO, CCO | — |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(2/17/2021)
(2/17/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2002About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ross Williams's CRS (Customer Relationship Summary).
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