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GF

Gregory Fleming

SUMRIDGE PARTNERS
JERSEY CITY NJ 07310, NJ 07310
Some features on this profile are disabled
CRD#: 4240459
GF

Professional summary

Gregory Fleming, who also goes by Greg Fleming, Gregory J Fleming, is a registered financial professional currently at SUMRIDGE PARTNERS, LLC located in Jersey City Nj 07310, New Jersey.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 2023. Gregory has worked at 1 firm and has passed the SIE and Series 99TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Greg Fleming | Gregory J Fleming

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 Gregory Fleming'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

September 13, 2023 - Present

SUMRIDGE PARTNERS, LLC

Office #1: 111 Town Square Place Suite 320, Jersey City Nj 07310, NJ 07310
BD
CRD#: 152437
JERSEY CITY NJ 07310, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 9/13/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 6/12/2023
Operations Professional Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EVEREST ACQUISITION CO.OWNER
CARTER, HORACE LEROYPRESIDENT2157720
CATLIN, CHRISTOPHER EDWINDIRECTOR OF OPERATIONS/ COO (2/2015)1759063
CHAMPAGNE, JUSTIN TYLERMUNICIPAL PRINCIPAL/ MANAGING DIRECTOR (7/2022)5822474
CHAMPAGNE, RYANHEAD OF TRADING/ SENIOR MANAGING DIRECTOR (7/2022)4774950
DELEON, ALLYSSA NICOLECFO/ FINOP6902665
JIANG, JIANZHONGCHIEF TECHNOLOGY OFFICER/ SENIOR MANAGING DIRECTOR (7/2022)4779195
MORANO, KEVIN ROBERTSENIOR MANAGING DIRECTOR1928935
SHIM, KATHERINECHIEF COMPLIANCE OFFICER4204142

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

SUMRIDGE PARTNERS, LLC

CRD#: 152437Jersey City Nj 07310, NJ 07310

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