SC
Summer J. Cavalier
BNY ADVISORS
Pennington, NJ 08534
Some features on this profile are disabled
CRD#: 3157787
SC
Professional summary
Summer J. Cavalier, who also goes by Summer J Cavalier, Summer S Jawad, Summer Sinan Jawad, is a registered financial advisor currently at BNY ADVISORS located in Pennington, New Jersey and PERSHING LLC located in Jersey City, New Jersey.
Summer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Summer has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Summer J Cavalier | Summer S Jawad | Summer Sinan Jawad
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) - RIA
Click below to view Summer J. Cavalier'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 12, 2009 - Present
BNY ADVISORS
Office #1: 1800 American Blvd. Suite 300 - Pod D, Pennington, NJ 08534RIA
CRD#: 106108
Pennington, NJ
Current
June 12, 2009 - Present
PERSHING LLC
Office #1: One Pershing Plaza - Jersey City Osj, Jersey City, NJ 07399BD
CRD#: 7560
JERSEY CITY, NJ
Past
November 5, 2008 - November 21, 2008
RITTENHOUSE ASSET MANAGEMENT, INC.
RIA
CRD#: 106562
RADNOR, PA
Past
August 8, 2008 - November 21, 2008
NUVEEN SECURITIES, LLC
BD
CRD#: 469
RADNOR, PA
Past
May 2, 2000 - July 29, 2008
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Past
August 18, 1999 - March 6, 2000
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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".
BA
BNY ADVISORS
BNY ADVISORS | LOCKWOOD MANAGED ACCOUNT SOLUTIONS | LOCKWOOD ADVISORS INC | LOCKWOOD ADVISORS | LOCKWOOD | BNY MELLON LOCKWOOD | BNY MELLON ADVISORS, INC. | BNY MELLON ADVISORS
CRD#: 106108 / SEC#: 801-52378
RIA
Registered Investment Advisory firm - (7/15/1996 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
New Jersey(9/13/2021)
RR
Pennsylvania(6/12/2009)
IAR
Pennsylvania(6/12/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 8/4/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
BA
BNY ADVISORS
BNY ADVISORS | LOCKWOOD MANAGED ACCOUNT SOLUTIONS | LOCKWOOD ADVISORS INC | LOCKWOOD ADVISORS | LOCKWOOD | BNY MELLON LOCKWOOD | BNY MELLON ADVISORS, INC. | BNY MELLON ADVISORS
CRD#: 106108 / SEC#: 801-52378
RIA
Registered Investment Advisory firm - (7/15/1996 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1800 American Blvd. Suite 300 - Pod D, Pennington, NJ 08534
Mailing Address
Phone number
800-200-3033, OPTION 3
Established
Firm type
Fiscal year end
# of Employees
79
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 122,578 |
| AUM (Assets Under Management) | $ 23,959,697,127 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
Company Information
BNY ADVISORS
CRD#: 106108Pennington, NJ 08534TRUST BUT VERIFY
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