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Stephen John Masiello

Umergence LLC

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About Stephen John Masiello

Stephen Masiello is a financial professional with over 25 years of experience in the financial industry. Stephen currently holds a Series 7, Series 63, and Series 65 license, along with a SIE and Series 79TO. Stephen is currently registered with Umergence LLC. Previously, Stephen worked for Race Rock Capital LLC, Innovation Partners LLC, Seedchange Execution Services INC., PTP Securities, LLC, and Jerome P. Greene & Associates, LLC. Stephen has an extensive background in various financial services and has a proven track record of success.

Firm Information

Stephen Masiello 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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Stephen Masiello’s Registration & Firm History

CT

07/30/2020 - Present

Umergence LLC (PLANTSVILLE CT)

MA

07/20/2019 - 06/30/2020

RACE ROCK CAPITAL LLC (WINCHESTER MA)

MA

03/20/2017 - 07/12/2019

INNOVATION PARTNERS LLC (Winchester MA)

CA

01/09/2015 - 03/17/2017

SEEDCHANGE EXECUTION SERVICES INC. (LAFAYETTE CA)

MA

01/05/2006 - 12/08/2014

PTP SECURITIES, LLC (WINCHESTER MA)

IN

07/13/2005 - 12/21/2005

JEROME P. GREENE & ASSOCIATES, LLC (INDIANAPOLIS IN)

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Licenses & Designations

BC

Issued 02/04/2005

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 06/05/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/29/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen John Masiello.
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