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SM

Stephen Makely

UMERGENCE
Plantsville, CT 06479
Some features on this profile are disabled
CRD#: 6868073
SM

Professional summary

Stephen Makely, who also goes by Stephen Lawrence Makely II, Stephen Lawrence Makely, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2017. Stephen has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Lawrence Makely Ii | Stephen Lawrence Makely

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 Stephen Makely'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

March 23, 2026 - Present

UMERGENCE LLC

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

September 19, 2023 - August 20, 2024

GT INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 325619
Manhattan Beach, CA
Past

August 19, 2021 - December 11, 2025

GT SECURITIES, INC.

BD
CRD#: 116012
LOS ANGELES, CA
Past

October 11, 2020 - August 17, 2021

UMERGENCE LLC

BD
CRD#: 284368
PLANTSVILLE, CT
Past

September 23, 2019 - April 30, 2020

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
Los Angeles, CA
Past

January 3, 2018 - October 22, 2018

EDWARD JONES

RIA
CRD#: 250
SAN DIEGO, CA
Past

December 8, 2017 - October 22, 2018

EDWARD JONES

BD
CRD#: 250
SAN DIEGO, CA

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
California
(3/23/2026)
RR
Florida
(3/23/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/29/2017
Uniform Combined 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: 12/7/2017
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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