Adam G. Theriault

UNITED FIRST PARTNERS LLC

New York, NY 10019

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CRD#: 4409396

Professional summary

Adam Gordon Theriault is a registered financial professional currently at UNITED FIRST PARTNERS LLC located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2001. Adam has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 79, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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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

April 20, 2012 - Present

UNITED FIRST PARTNERS LLC

Office #1: 3 Columbus Circle Suite 1730, New York, NY 10019

CRD#: 155456

New York, NY

Past

October 1, 2008 - December 9, 2011

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 18, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

August 21, 2001 - July 21, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

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

California
(1/22/2020)

Connecticut
(1/17/2020)

Illinois
(1/28/2020)

New York
(1/13/2020)

Exams

State Security Law Exam

Series 63

Date: 12/17/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 1/14/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 3

Date: 2/4/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 1/27/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/20/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/11/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UNITED FIRST PARTNERS LLC

CRD#: 155456 / SEC#: , 8-68718

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

3 Columbus Circle Suite 1730, New York, NY 10019

Mailing Address

3 Columbus Circle Suite 1730, New York, NY 10019

Phone number

(917) 836-8841

Established

New York since 08/31/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HADJEDJ, MICHAEL SIMON	PRESIDENT, ELECTED MANAGER	5854635
MARDEL, STEPHANE CHARLES	CO-PRESIDENT	5854634
DICKERSON, ELIZABETH ANNE	CHIEF COMPLIANCE OFFICER	1917497
DOHERTY, JAMES HUGH	PRINCIPAL OPERATIONS OFFICER	4197747
SINELNIKOV, PETER SERGEY	PRINCIPAL FINANCIAL OFFICER	6493208
UNITED FIRST PARTNERS HOLDINGS, LLC	SOLE MEMBER

Disclosures

Regulatory Event

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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Firm Stability Insights

Adam G. Theriault

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Gordon Theriault's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/17/2001

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 1/14/2016

Series 3

Date: 2/4/2006

Series 55

Date: 1/27/2005

Series 7

Date: 8/20/2001

Series 24

Date: 2/11/2015

FINRA

Current Firm

UNITED FIRST PARTNERS LLC

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

UNITED FIRST PARTNERS LLC

TRUST BUT VERIFY

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