JO
James V. O'brien
SUMRIDGE PARTNERS
Jersey City, NJ 07310
Some features on this profile are disabled
CRD#: 2991751
JO
Professional summary
James Vincent O'brien, who also goes by James VIncent Obrien, Jim Obrien, is a registered financial professional currently at SUMRIDGE PARTNERS, LLC located in Jersey City, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 24, Series 53, Series 23, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Vincent Obrien | Jim Obrien
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 Vincent O'brien'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
October 12, 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 07310BD
CRD#: 152437
Jersey City, NJ
Past
May 3, 2010 - October 8, 2010
PIPER SANDLER & CO.
BD
CRD#: 665
NEW YORK, NY
Past
June 1, 2009 - May 4, 2010
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
August 28, 2006 - May 11, 2010
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PURCHASE, NY
Past
March 12, 2003 - February 28, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
PURCHASE, NY
Past
June 19, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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(2/13/2023)
RR
Alaska(2/13/2023)
RR
Arizona(2/13/2023)
RR
Arkansas(2/13/2023)
RR
California(2/13/2023)
RR
Colorado(2/13/2023)
RR
Connecticut(2/13/2023)
RR
Delaware(2/13/2023)
RR
District of Columbia(2/13/2023)
RR
Florida(2/13/2023)
RR
Georgia(2/13/2023)
RR
Hawaii(2/13/2023)
RR
Idaho(2/13/2023)
RR
Illinois(2/13/2023)
RR
Indiana(2/13/2023)
RR
Iowa(2/13/2023)
RR
Kansas(2/13/2023)
RR
Kentucky(2/13/2023)
RR
Louisiana(2/13/2023)
RR
Maine(2/13/2023)
RR
Maryland(2/13/2023)
RR
Massachusetts(2/13/2023)
RR
Michigan(2/13/2023)
RR
Minnesota(2/13/2023)
RR
Mississippi(2/13/2023)
RR
Missouri(2/13/2023)
RR
Montana(2/13/2023)
RR
Nebraska(2/13/2023)
RR
Nevada(2/13/2023)
RR
New Hampshire(2/13/2023)
RR
New Jersey(10/12/2010)
RR
New Mexico(2/13/2023)
RR
New York(10/12/2010)
RR
North Carolina(2/13/2023)
RR
North Dakota(2/13/2023)
RR
Ohio(2/13/2023)
RR
Oklahoma(2/13/2023)
RR
Oregon(2/13/2023)
RR
Pennsylvania(2/13/2023)
RR
Puerto Rico(2/13/2023)
RR
Rhode Island(2/13/2023)
RR
South Carolina(2/13/2023)
RR
South Dakota(2/13/2023)
RR
Tennessee(2/13/2023)
RR
Texas(2/13/2023)
RR
Utah(2/13/2023)
RR
Vermont(2/13/2023)
RR
Virgin Islands(2/13/2023)
RR
Virginia(2/13/2023)
RR
Washington(2/13/2023)
RR
West Virginia(2/13/2023)
RR
Wisconsin(2/13/2023)
RR
Wyoming(2/13/2023)
Exams
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
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
