Christopher E. Catlin

SUMRIDGE PARTNERS

Jersey City, NJ 07310

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CRD#: 1759063

Professional summary

Christopher Edwin Catlin, who also goes by Christopher E Catlin, is a registered financial professional currently at SUMRIDGE PARTNERS, LLC located in Jersey City, New Jersey.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher E Catlin

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 Christopher Edwin Catlin'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®

None

Experience

Current

August 20, 2010 - Present

SUMRIDGE PARTNERS, LLC

Office #1: 111 Town Square Place, Jersey City, NJ 07310Office #2: 111 Town Square Place Suite 320, Jersey City Nj 07310, NJ 07310Office #3: 396 Pacific Street Suite 306, Stamford, CT 06902

CRD#: 152437

Jersey City, NJ

Past

February 18, 2010 - April 28, 2010

KBC SECURITIES USA LLC

CRD#: 46709

NEW YORK, NY

Past

August 7, 2001 - January 28, 2009

KBC SECURITIES USA LLC

CRD#: 46709

NEW YORK, NY

Past

May 21, 1993 - August 14, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

New Jersey
(9/2/2010)

New York
(9/14/2010)

Exams

State Security Law Exam

Series 63

Date: 11/1/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/10/1990

National Commodity Futures Examination

Principal/Supervisory Exam

Series 27

Date: 2/12/2003

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

SUMRIDGE PARTNERS, LLC

SUMRIDGE PARTNERS, A COMPANY OF RAYMOND JAMES | SUMRIDGE PARTNERS, LLC

CRD#: 152437 / SEC#: , 8-68454

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

111 Town Square Place, Jersey City, NJ 07310

Mailing Address

111 Town Square, Jersey City, NJ 07310

Phone number

(201) 898-2525

Established

Delaware since 09/29/2009

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
EVEREST ACQUISITION CO.	OWNER
CARTER, HORACE LEROY	PRESIDENT	2157720
CATLIN, CHRISTOPHER EDWIN	DIRECTOR OF OPERATIONS/ COO (2/2015)	1759063
CHAMPAGNE, JUSTIN TYLER	MUNICIPAL PRINCIPAL/ MANAGING DIRECTOR (7/2022)	5822474
CHAMPAGNE, RYAN	HEAD OF TRADING/ SENIOR MANAGING DIRECTOR (7/2022)	4774950
DELEON, ALLYSSA NICOLE	CFO/ FINOP	6902665
JIANG, JIANZHONG	CHIEF TECHNOLOGY OFFICER/ SENIOR MANAGING DIRECTOR (7/2022)	4779195
MORANO, KEVIN ROBERT	SENIOR MANAGING DIRECTOR	1928935
SHIM, KATHERINE	CHIEF COMPLIANCE OFFICER	4204142

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Christopher E. Catlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Edwin Catlin's CRS (Customer Relationship Summary).

Certified licenses

Experience

KBC SECURITIES USA LLC

KBC SECURITIES USA LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/1/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1993

Series 3

Date: 10/10/1990

Series 27

Date: 2/12/2003

FINRA

Current Firm

SUMRIDGE PARTNERS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SUMRIDGE PARTNERS, LLC

TRUST BUT VERIFY

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