Summer Cavalier is a registered investment advisor, based in New York, NY, with 25 years of industry experience.
Location
200 Park Avenue, New York, NY, 10166
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Pershing LLC
June 2009 - Present · 16 yrs 10 mos
Bny Advisors
June 2009 - Present · 16 yrs 10 mos
Pershing LLCBroker
June 2009 - Present · 16 yrs 10 mos
Previous Registrations
Rittenhouse Asset Management, INC.
November 2008 - November 2008 · 0 mos
Nuveen Investments, LLCBroker
August 2008 - November 2008 · 3 mos
Charles Schwab & CO., INC.Broker
May 2000 - July 2008 · 8 yrs 2 mos
Vanguard Marketing CorporationBroker
August 1999 - March 2000 · 7 mos
State Registrations2 states
NJPA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.