James Chiriaco
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Chiriaco, who also goes by Jim Chiriaco, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2016 - April 2, 2026
SUMRIDGE PARTNERS, LLC
May 2, 2011 - May 22, 2015
CIBC WORLD MARKETS CORP.
September 13, 2007 - April 21, 2011
SAMCO CAPITAL MARKETS, INC.
March 24, 2004 - August 13, 2007
BMO CAPITAL MARKETS CORP.
August 2, 2002 - September 26, 2003
RED-HORSE SECURITIES, LLC
September 26, 2001 - August 5, 2002
REDWOOD BROKERAGE LLC
May 30, 2001 - September 25, 2001
NATIVE NATIONS SECURITIES, INC.
January 9, 2001 - April 10, 2001
DEBTTRADERS, INC.
January 11, 1995 - April 19, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 8, 1992 - March 20, 1992
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SUMRIDGE PARTNERS, LLC
CRD#: 152437 / SEC#: , 8-68454
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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