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NC

Ning Chen

UMERGENCE LLC
Plantsville, CT 06479
Some features on this profile are disabled
CRD#: 4774990
NC

Professional summary

Ning Chen, who also goes by Daisy Chen, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.

Ning is registered as a RR (Registered Representative) and started their career in finance in 2005. Ning has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 22 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daisy Chen

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 Ning Chen'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

January 3, 2025 - Present

UMERGENCE LLC

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

January 8, 2020 - January 2, 2025

SIGNET SECURITIES, LLC

BD
CRD#: 154198
COLUMBUS, OH
Past

April 3, 2018 - December 31, 2019

LIGHTPATH CAPITAL, INC

BD
CRD#: 34617
Dallas, TX
Past

December 15, 2015 - March 30, 2018

HB SECURITIES, LLC

BD
CRD#: 140356
Dallas, TX
Past

June 26, 2015 - May 13, 2016

ENCORE FINANCIAL ADVISORS, LLC

RIA
CRD#: 174207
DALLAS, TX
Past

February 25, 2015 - May 1, 2015

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
dallas, TX
Past

December 17, 2013 - December 31, 2014

BROOKLINE GROUP, LLC

BD
CRD#: 153587
DALLAS, TX
Past

April 19, 2005 - July 21, 2009

NYLIFE SECURITIES LLC

BD
CRD#: 5167
EULESS, TX

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
Alabama
(1/3/2025)
RR
Alaska
(1/3/2025)
RR
Arizona
(1/3/2025)
RR
Arkansas
(1/3/2025)
RR
California
(1/3/2025)
RR
Colorado
(1/3/2025)
RR
Connecticut
(1/3/2025)
RR
Delaware
(1/3/2025)
RR
District of Columbia
(1/3/2025)
RR
Florida
(1/3/2025)
RR
Georgia
(1/3/2025)
RR
Hawaii
(1/3/2025)
RR
Idaho
(1/3/2025)
RR
Illinois
(1/3/2025)
RR
Indiana
(1/3/2025)
RR
Iowa
(1/3/2025)
RR
Kansas
(1/3/2025)
RR
Kentucky
(1/3/2025)
RR
Louisiana
(1/3/2025)
RR
Maine
(1/3/2025)
RR
Maryland
(1/3/2025)
RR
Massachusetts
(1/3/2025)
RR
Michigan
(1/3/2025)
RR
Minnesota
(1/3/2025)
RR
Mississippi
(1/3/2025)
RR
Missouri
(1/3/2025)
RR
Montana
(1/3/2025)
RR
Nebraska
(1/3/2025)
RR
Nevada
(1/3/2025)
RR
New Hampshire
(1/3/2025)
RR
New Jersey
(1/3/2025)
RR
New Mexico
(1/3/2025)
RR
New York
(1/3/2025)
RR
North Carolina
(1/3/2025)
RR
North Dakota
(1/3/2025)
RR
Ohio
(1/3/2025)
RR
Oklahoma
(1/3/2025)
RR
Oregon
(1/3/2025)
RR
Pennsylvania
(1/3/2025)
RR
Puerto Rico
(1/3/2025)
RR
Rhode Island
(1/3/2025)
RR
South Carolina
(1/3/2025)
RR
South Dakota
(1/3/2025)
RR
Tennessee
(1/3/2025)
RR
Texas
(1/3/2025)
RR
Utah
(1/3/2025)
RR
Vermont
(1/3/2025)
RR
Virginia
(1/3/2025)
RR
Washington
(1/3/2025)
RR
West Virginia
(1/3/2025)
RR
Wisconsin
(1/3/2025)
RR
Wyoming
(1/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/26/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/25/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 12/17/2013
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/18/2005
Investment Company Products/Variable Contracts 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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