Seth B. Roteman

UMERGENCE LLC

Plantsville, CT 06479

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CRD#: 6265186

Professional summary

Seth Bradley Roteman, who also goes by Seth Roteman, Seth Bradley Roteman, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.

Seth is registered as a RR (Registered Representative) and started their career in finance in 2014. Seth has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Seth Roteman | Seth Bradley Roteman

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 Seth Bradley Roteman'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

CRD#: 284368

Plantsville, CT

Past

January 26, 2024 - January 2, 2025

SIGNET SECURITIES, LLC

CRD#: 154198

COLUMBUS, OH

Past

April 5, 2023 - January 12, 2024

USREM SECURITIES LLC

CRD#: 317571

NEW YORK, NY

Past

June 8, 2022 - March 8, 2023

YIELDSTREET MARKETS LLC

CRD#: 172295

NEW YORK, NY

Past

March 1, 2018 - April 4, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEW YORK, NY

Past

August 17, 2016 - August 25, 2017

GROWTH CAPITAL SERVICES, INC.

CRD#: 124658

New York, NY

Past

December 18, 2014 - August 3, 2016

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEW YORK, NY

State Registrations and Notice Filings

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

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

Arizona
(1/3/2025)

California
(1/3/2025)

Colorado
(1/3/2025)

Connecticut
(1/3/2025)

Florida
(1/3/2025)

Georgia
(1/3/2025)

Illinois
(1/3/2025)

Maryland
(1/3/2025)

Massachusetts
(1/3/2025)

Nevada
(1/3/2025)

New Jersey
(1/3/2025)

New York
(1/3/2025)

North Carolina
(1/3/2025)

Pennsylvania
(1/3/2025)

Texas
(1/3/2025)

Virginia
(1/3/2025)

Exams

State Security Law Exam

Series 63

Date: 3/13/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

UMERGENCE LLC

CRD#: 284368 / SEC#: , 8-69801

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
UMERGENCE HOLDINGS LLC	SOLE MEMBER
CIARCIA, JEFFREY	CFO
LOGAN, DAVID M	CEO, 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.

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Advisor Monitoring

Firm Stability Insights

Seth B. Roteman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Seth Bradley Roteman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNET SECURITIES, LLC

USREM SECURITIES LLC

YIELDSTREET MARKETS LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

GROWTH CAPITAL SERVICES, INC.

DINOSAUR FINANCIAL GROUP, L.L.C

State Registrations and Notice Filings

Exams

Series 63

Date: 3/13/2015

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2014

FINRA

Current Firm

UMERGENCE LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

UMERGENCE LLC

TRUST BUT VERIFY

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