RL
Robert L. Lohwater
SAGE, RUTTY & CO.
Rochester, NY 14623
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CRD#: 1232267
RL
Professional summary
Robert Lawrence Lohwater, who also goes by Robert L Lohwater, is a registered financial professional currently at SAGE, RUTTY & CO., INC. located in Rochester, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 87, Series 7, Series 14, Series 4, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert L Lohwater
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert Lawrence Lohwater's 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®
NoneExperience
Current
March 4, 2014 - Present
SAGE, RUTTY & CO., INC.
Office #1: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #2: 100 Corporate Woods Suite 300, Rochester, NY 14623Office #3: 100 Corporate Woods Suite 300, Rochester, NY 14623RIA
BD
CRD#: 3254
Rochester, NY
Past
June 5, 2006 - March 3, 2014
BRIGHTON SECURITIES CORP.
BD
CRD#: 3875
ROCHESTER, NY
Past
August 8, 2005 - May 31, 2006
WINSLOW, EVANS & CROCKER, INC.
RIA
CRD#: 29686
BOSTON, MA
Past
December 3, 2003 - May 31, 2006
WINSLOW, EVANS & CROCKER, INC.
BD
CRD#: 29686
BOSTON, MA
Past
October 28, 1996 - July 12, 2000
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
February 27, 1992 - December 15, 2004
GOLDK INVESTMENT SERVICES, INC
BD
CRD#: 15514
BOSTON, MA
Past
October 15, 1991 - February 11, 1992
SAGE, RUTTY & CO., INC.
BD
CRD#: 3254
ROCHESTER, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
New York(3/4/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SAGE, RUTTY & CO., INC.
SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.
CRD#: 3254 / SEC#: 801-35917, 8-533
RIA
Registered Investment Advisory firm - SEC (1/26/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Mailing Address
100 Corporate Woods Suite 300, Rochester, NY 14623
Phone number
(585) 232-3760
Established
New York since 02/11/1937
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
39
SEC notice filing (11 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLY, AUDREY WELLER | SHAREHOLDER | |
| HOLLY, WAYNE FOSTER | EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR | 1019229 |
| NUGENT, KIM LISBETH | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4759283 |
| PARKER, DOUGLAS EVANS III | DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT | 1772713 |
| HOLLY, TREVOR WILLIAM | PRESIDENT, CEO, SHAREHOLDER | 6215542 |
| BURKE, JAMES PAUL | SECRETARY, VICE PRESIDENT, SHAREHOLDER | 2226672 |
| CONWAY, CHELSEA LEIGH | DIRECTOR | 7976777 |
| DENNIS, CORINNE MARIE | CHIEF COMPLIANCE OFFICER | 6454049 |
| EHRLICH, CURT ALLEN | SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER | 4659166 |
| FALVEY, ROBERT JOHN | SHAREHOLDER (10/1996) | 1926374 |
| FROOD, LAURA SUZANNE | FINANCIAL ADVISOR, SHAREHOLDER | 4211953 |
| FROOD, NEIL STEWART III | FINANCIAL ADVISOR, DIRECTOR | 4483525 |
| HOLLY, CHRISTOPHER ROBERT | SHAREHOLDER | 7993869 |
| HOLLY, CONNOR B | FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT | 5887021 |
| HOLLY, JARED FOSTER | SHAREHOLDER | 7648569 |
| HOLLY, JESSICA LAUREN | SHAREHOLDER | 7656552 |
| HOLLY, SEAN TYLER | SHAREHOLDER | 7656542 |
| HOLLY, SHANE ALEXANDER | SHAREHOLDER | 7656553 |
| LACEY, MATTHEW JAMES | CONTROLLER,TREASURER, FINOP, SHAREHOLDER | 5299622 |
| LOHWATER, ROBERT LAWRENCE | CORPORATE OFFICER | 1232267 |
| RALPH JOSEPH DANDREA | DIRECTOR | |
| WEHNER, SANDRA JEAN | SHAREHOLDER | 1472675 |
Regulatory assets under management
| Total Number of Accounts | 7,702 |
| AUM (Assets Under Management) | $ 3,018,502,621 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 01/27/2025 | ||
| 01/02/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SAGE, RUTTY & CO., INC.
CRD#: 3254Rochester, NY 14623TRUST BUT VERIFY
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