Max E. Frankovits
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.
Max Edward Frankovits was a registered financial professional .
Max is a previously registered financial professional and started their career in finance in 2019. Max had worked at 2 firms and has passed the Series 63, Series 52TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2020 - August 31, 2023
SUMRIDGE PARTNERS, LLC
June 17, 2019 - October 21, 2020
TRADITION SECURITIES AND DERIVATIVES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 4/1/2021
Municipal Securities Representative ExaminationSeries 7TO
Date: 6/17/2019
General Securities Representative ExaminationCurrent Firm
SUMRIDGE PARTNERS, LLC
CRD#: 152437 / SEC#: , 8-68454
Contact information
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
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