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AE

Azure L. Erickson

Some features on this profile are disabled
CRD#: 5419735
AE

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.

Azure Lynn Postell Erickson, who also goes by Azure Lynn Postell Erickson, Azure Postell Erickson, Azure L. Postell, Azure Lynn Postell, was a registered financial professional .

Azure is a previously registered financial professional and started their career in finance in 2012. Azure had worked at 3 firms and has passed the Series 66, Series 65, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Azure Lynn Postell Erickson | Azure Postell Erickson | Azure L. Postell | Azure Lynn Postell

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

January 2, 2025 - October 24, 2025

UMERGENCE LLC

BD
CRD#: 284368
PLANTSVILLE, CT
Past

May 3, 2022 - January 2, 2025

SIGNET SECURITIES, LLC

BD
CRD#: 154198
COLUMBUS, OH
Past

August 21, 2012 - June 5, 2020

COGNIOS CAPITAL, LLC

RIA
CRD#: 148361
LEAWOOD, KS

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
IAR
Series 66
Date: 9/6/2022
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/8/2012
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/3/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/28/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/28/2024
General Securities Principal 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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