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Nicholas A. Barry

Some features on this profile are disabled
CRD#: 4744498
NB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nicholas Andrew Barry, who also goes by Nicholas Andrew Barry Mr., Nicholas Barry, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2004. Nicholas had worked at 6 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas Andrew Barry Mr. | Nicholas Barry

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 31, 2020 - December 1, 2022

UMERGENCE LLC

BD
CRD#: 284368
PLANTSVILLE, CT
Past

October 3, 2019 - June 30, 2020

RACE ROCK CAPITAL LLC

BD
CRD#: 153363
WINCHESTER, MA
Past

July 24, 2018 - September 5, 2019

INNOVATION PARTNERS LLC

BD
CRD#: 146344
Winchester, MA
Past

August 11, 2014 - October 13, 2016

BOSTON PARTNERS SECURITIES, L.L.C.

BD
CRD#: 2998
BOSTON, MA
Past

May 31, 2012 - October 7, 2013

EATON PARTNERS, LLC

BD
CRD#: 31170
ROWAYTON, CT
Past

April 8, 2004 - July 31, 2007

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/14/2012
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 31
Date: 1/30/2013
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/30/2012
General Securities Representative Examination

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#: 284368

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