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TC

Timothy J. Cooney

UMERGENCE LLC
Plantsville, CT 06479
Some features on this profile are disabled
CRD#: 4024958
TC

Professional summary

Timothy James Cooney, who also goes by Timothy Cooney, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2005. Timothy has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Timothy Cooney

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 Timothy James Cooney'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 19, 2020 - Present

UMERGENCE LLC

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

April 4, 2018 - December 31, 2018

LIFEMARK SECURITIES CORP.

RIA
CRD#: 16204
Potomac, MD
Past

March 29, 2018 - December 31, 2018

LIFEMARK SECURITIES CORP.

BD
CRD#: 16204
Potomac, MD
Past

September 23, 2015 - April 5, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
WASHINGTON, DC
Past

July 2, 2015 - April 5, 2016

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
WASHINGTON, DC
Past

May 31, 2013 - August 6, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
WASHINGTON, DC
Past

December 24, 2008 - October 17, 2012

LSIA

RIA
CRD#: 146829
WASHINGTON, DC
Past

April 3, 2006 - October 13, 2008

NATIXIS ADVISORS, LLC

RIA
CRD#: 106800
BOSTON, MA
Past

June 29, 2005 - October 2, 2008

LOOMIS, SAYLES & COMPANY, L.P.

RIA
CRD#: 105377
WASHINGTON, DC

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
(11/19/2020)
RR
Maryland
(11/19/2020)
RR
Massachusetts
(11/19/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/14/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/6/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/30/2013
General Securities Representative 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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