Robert J. Dwyer
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.
Robert Joseph Dwyer was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1967. Robert had worked at 5 firms and has passed the Series 63, Series 5, Series 000, Series 1, Series 24, Series 4, Series 00 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2015 - January 25, 2022
SUMRIDGE PARTNERS, LLC
August 20, 2010 - February 15, 2011
SUMRIDGE PARTNERS, LLC
January 6, 1981 - April 20, 1999
MORGAN STANLEY DW INC.
May 19, 1978 - January 22, 1981
KIDDER, PEABODY & CO. INCORPORATED
April 26, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
November 27, 1967 - December 31, 1975
HUGH JOHNSON & COMPANY INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 12/10/1981
Interest Rate Options ExaminationSeries 000
Date: 11/22/1967
General Securities Principal ExaminationSeries 1
Date: 11/22/1967
Registered Representative ExaminationSeries 00
Date: 4/18/1973
General Securities Principal ExaminationSeries 12
Date: 3/15/1973
NYSE Branch Manager 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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