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Michael Edward Gobes

Umergence LLC

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About Michael Edward Gobes

Michael Gobes is a registered investment advisor who has been in the financial services industry since February 3, 1985. Michael is currently registered with Umergence LLC, a firm that provides financial advisory services. Prior to joining Umergence LLC, Michael was employed with Innovation Partners LLC, Oppenheimer & Co. Inc., and Janney Montgomery Scott LLC. Michael is licensed to practice in Connecticut, Massachusetts, and New York. Michael has a comprehensive understanding of financial markets and a proven track record of success in helping clients achieve their financial goals.

Firm Information

Michael Gobes is currently registered with Umergence LLC. Umergence LLC is a Limited Liability Company formed in 2015. It is registered to operate in all 50 states and the District of Columbia. The firm is registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

34

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Michael Gobes’s Registration & Firm History

CT

03/25/2020 - Present

Umergence LLC (PLANTSVILLE CT)

NC

02/23/2018 - 03/04/2019

INNOVATION PARTNERS LLC (CHARLOTTE NC)

MA

02/26/2014 - 12/18/2017

OPPENHEIMER & CO. INC. (BOSTON MA)

MA

07/29/2008 - 12/19/2013

JANNEY MONTGOMERY SCOTT LLC (BOSTON MA)

MA

08/25/2005 - 04/02/2008

OPPENHEIMER & CO. INC. (BOSTON MA)

NY

01/18/1985 - 07/25/2005

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NA

04/03/1988 - 04/18/1995

OPPENHEIMER & CO., INC.

NA

03/19/1983 - 12/27/1984

CYRUS J. LAWRENCE INCORPORATED

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Licenses & Designations

IA

Issued 01/04/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/04/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/15/2014

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/22/2014

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/19/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael Edward Gobes. Review regulatory record here.
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