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WZ

William R. Ziglar

UMERGENCE LLC
Plantsville, CT 06479
Some features on this profile are disabled
CRD#: 2954341
WZ

Professional summary

William Richard Ziglar, who also goes by Will Ziglar, William R Ziglar, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.

William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Will Ziglar | William R Ziglar

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 William Richard Ziglar'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

November 23, 2020 - Present

UMERGENCE LLC

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

September 22, 2016 - October 9, 2017

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

September 4, 2013 - April 6, 2016

AMUNDI DISTRIBUTORS USA, LLC

BD
CRD#: 152399
DURHAM, NC
Past

May 17, 2002 - July 16, 2003

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

BD
CRD#: 8010
NEW YORK, NY
Past

June 29, 1999 - May 3, 2000

GLEACHER PARTNERS LLC

BD
CRD#: 47342
NEW YORK, NY
Past

January 30, 1998 - June 29, 1999

NATWEST FINANCE INC.

BD
CRD#: 26125
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
(12/2/2020)
RR
North Carolina
(1/26/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/18/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/23/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/9/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/17/2011
National Commodity Futures 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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