JC
James Chiriaco
SUMRIDGE PARTNERS
JERSEY CITY NJ 07310, NJ 07310
Some features on this profile are disabled
CRD#: 2118057
JC
Professional summary
James Chiriaco, who also goes by Jim Chiriaco, is a registered financial professional currently at SUMRIDGE PARTNERS, LLC located in Jersey City Nj 07310, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Chiriaco
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 James Chiriaco'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
June 13, 2016 - Present
SUMRIDGE PARTNERS, LLC
Office #1: 111 Town Square Place Suite 320, Jersey City Nj 07310, NJ 07310Office #2: 20 White Street 2nd Floor, Red Bank, NJ 07701BD
CRD#: 152437
JERSEY CITY NJ 07310, NJ
Past
May 2, 2011 - May 22, 2015
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
September 13, 2007 - April 21, 2011
SAMCO CAPITAL MARKETS, INC.
BD
CRD#: 136532
NEW YORK, NY
Past
March 24, 2004 - August 13, 2007
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
August 2, 2002 - September 26, 2003
RED-HORSE SECURITIES, LLC
BD
CRD#: 104169
BRIDGEWATER, NJ
Past
September 26, 2001 - August 5, 2002
REDWOOD BROKERAGE LLC
BD
CRD#: 39416
NEW YORK, NY
Past
May 30, 2001 - September 25, 2001
NATIVE NATIONS SECURITIES, INC.
BD
CRD#: 334
JERSEY CITY, NJ
Past
January 9, 2001 - April 10, 2001
DEBTTRADERS, INC.
BD
CRD#: 102120
NEW YORK, NY
Past
January 11, 1995 - April 19, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 8, 1992 - March 20, 1992
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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
Alabama(6/13/2016)
RR
Alaska(6/13/2016)
RR
Arizona(6/13/2016)
RR
Arkansas(6/13/2016)
RR
California(6/13/2016)
RR
Colorado(6/13/2016)
RR
Connecticut(6/13/2016)
RR
Delaware(6/13/2016)
RR
District of Columbia(6/13/2016)
RR
Florida(6/13/2016)
RR
Georgia(6/13/2016)
RR
Hawaii(6/13/2016)
RR
Idaho(6/13/2016)
RR
Illinois(6/13/2016)
RR
Indiana(6/13/2016)
RR
Iowa(6/13/2016)
RR
Kansas(6/13/2016)
RR
Kentucky(6/13/2016)
RR
Louisiana(6/13/2016)
RR
Maine(6/13/2016)
RR
Maryland(6/13/2016)
RR
Massachusetts(6/13/2016)
RR
Michigan(6/13/2016)
RR
Minnesota(6/13/2016)
RR
Mississippi(6/13/2016)
RR
Missouri(6/13/2016)
RR
Montana(6/13/2016)
RR
Nebraska(6/13/2016)
RR
Nevada(6/13/2016)
RR
New Hampshire(6/13/2016)
RR
New Jersey(6/13/2016)
RR
New Mexico(6/13/2016)
RR
New York(6/13/2016)
RR
North Carolina(6/13/2016)
RR
North Dakota(6/13/2016)
RR
Ohio(6/13/2016)
RR
Oklahoma(6/13/2016)
RR
Oregon(6/13/2016)
RR
Pennsylvania(6/13/2016)
RR
Puerto Rico(6/13/2016)
RR
Rhode Island(6/13/2016)
RR
South Carolina(6/13/2016)
RR
South Dakota(6/13/2016)
RR
Tennessee(6/13/2016)
RR
Texas(6/13/2016)
RR
Utah(6/13/2016)
RR
Vermont(6/13/2016)
RR
Virgin Islands(6/13/2016)
RR
Virginia(6/13/2016)
RR
Washington(6/13/2016)
RR
West Virginia(6/13/2016)
RR
Wisconsin(6/13/2016)
RR
Wyoming(6/13/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SUMRIDGE PARTNERS, LLC
SUMRIDGE PARTNERS, A COMPANY OF RAYMOND JAMES | SUMRIDGE PARTNERS, LLC
CRD#: 152437 / SEC#: , 8-68454
BD
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
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.
