AB
Adam M. Braham
SUMRIDGE PARTNERS
JERSEY CITY NJ 07310, NJ 07310
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CRD#: 4977919
AB
Professional summary
Adam Michael Braham is a registered financial professional currently at SUMRIDGE PARTNERS, LLC located in Jersey City Nj 07310, New Jersey.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2006. Adam has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Adam Michael Braham'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
December 14, 2020 - Present
SUMRIDGE PARTNERS, LLC
Office #1: 111 Town Square Place Suite 320, Jersey City Nj 07310, NJ 07310BD
CRD#: 152437
JERSEY CITY NJ 07310, NJ
Past
July 1, 2013 - October 20, 2020
IMPERIAL CAPITAL, LLC
BD
CRD#: 43744
NEW YORK, NY
Past
July 2, 2012 - April 8, 2013
VIRTU AMERICAS LLC
BD
CRD#: 149823
GREENWICH, CT
Past
January 3, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
BD
CRD#: 38599
GREENWICH, CT
Past
May 19, 2009 - January 3, 2011
KNIGHT LIBERTAS LLC
BD
CRD#: 124790
GREENWICH, CT
Past
August 23, 2006 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(12/14/2020)
RR
Alaska(12/14/2020)
RR
Arizona(12/14/2020)
RR
Arkansas(12/14/2020)
RR
California(12/14/2020)
RR
Colorado(12/14/2020)
RR
Connecticut(12/14/2020)
RR
Delaware(12/14/2020)
RR
District of Columbia(12/14/2020)
RR
Florida(12/14/2020)
RR
Georgia(12/14/2020)
RR
Hawaii(12/14/2020)
RR
Idaho(12/14/2020)
RR
Illinois(12/14/2020)
RR
Indiana(12/14/2020)
RR
Iowa(12/14/2020)
RR
Kansas(12/14/2020)
RR
Kentucky(12/14/2020)
RR
Louisiana(12/14/2020)
RR
Maine(12/14/2020)
RR
Maryland(12/14/2020)
RR
Massachusetts(12/14/2020)
RR
Michigan(12/14/2020)
RR
Minnesota(12/14/2020)
RR
Mississippi(12/14/2020)
RR
Missouri(12/14/2020)
RR
Montana(12/14/2020)
RR
Nebraska(12/14/2020)
RR
Nevada(12/14/2020)
RR
New Hampshire(12/14/2020)
RR
New Jersey(12/14/2020)
RR
New Mexico(12/14/2020)
RR
New York(12/14/2020)
RR
North Carolina(12/14/2020)
RR
North Dakota(12/14/2020)
RR
Ohio(12/14/2020)
RR
Oklahoma(12/14/2020)
RR
Oregon(12/14/2020)
RR
Pennsylvania(12/14/2020)
RR
Puerto Rico(12/14/2020)
RR
Rhode Island(12/14/2020)
RR
South Carolina(12/14/2020)
RR
South Dakota(12/14/2020)
RR
Tennessee(12/14/2020)
RR
Texas(12/14/2020)
RR
Utah(12/14/2020)
RR
Vermont(12/14/2020)
RR
Virgin Islands(12/14/2020)
RR
Virginia(12/14/2020)
RR
Washington(12/14/2020)
RR
West Virginia(12/14/2020)
RR
Wisconsin(12/14/2020)
RR
Wyoming(12/14/2020)
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.
