Sylvia C. Umbles

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CRD#: 6412670

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sylvia Chandler Umbles, who also goes by Sylvia D Chandler, Sylvia Diane Chandler, Sylvia Diane Umbles, was a registered financial professional .

Sylvia is a previously registered financial professional and started their career in finance in 2014. Sylvia had worked at 5 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sylvia D Chandler | Sylvia Diane Chandler | Sylvia Diane Umbles

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.

1. AFFILIATED FINANCIAL GROUP, INC. - DBA; 134 W. SOUTH BOUNDARY, SUITE H, PERRYSBURG, OH 43551; FIXED INSURANCE, SALES AND ANNUITIES; AGENCY MANAGER; 10/2019; 20 HOURS PER MONTH DEVOTED, 20 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS; SALES AND SERVICE OF INVESTMENT AND INSURANCE. 2. Blackridge Assent Management, LLC; IAR; Approx. # of hours per month spent on activity:1; Approx. # of hours spent during trading hours:0; 3. Aetna, Humana, Assunty, Mutual of Omaha: Insurance Medicare. Title: Regional Agency Mgr. Start: 10/2019. Approx. # of hours per month spent on activity:20; Approx. # of hours spent during trading hours: 80.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 21, 2021 - September 4, 2024

BLACKRIDGE ASSET MANAGEMENT, LLC

RIA

CRD#: 277085

Perrysburg, OH

Past

June 21, 2021 - September 4, 2024

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

Perrysburg, OH

Past

January 28, 2021 - June 30, 2021

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Perrysburg, OH

Past

January 21, 2020 - June 30, 2021

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Perrysburg, OH

Past

December 22, 2014 - October 22, 2019

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

HOLLAND, OH

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".

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/22/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

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Contact information

Main Address

1070 E. Indiantown Road Suite 208-210, Jupiter, FL 33477

Mailing Address

Phone number

(561) 641-5050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAM_ADV2A (FINAL 9.29.25) (9/29/2025)

Regulatory assets under management

Total Number of Accounts	826
AUM (Assets Under Management)	$ 196,842,156

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.

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Sylvia C. Umbles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLACKRIDGE ASSET MANAGEMENT, LLC

PEAK BROKERAGE SERVICES, LLC

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

W&S BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

BLACKRIDGE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 12/22/2014

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLACKRIDGE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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