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Rob Lohwater

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Rob Lohwater

Compliance Officer | Sage Rutty & Co., Inc

City of Rochester, New York, United States

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Rob Lohwater

Summary

Rob Lohwater is a seasoned Compliance Officer with an impressive four-decade career in the financial services industry, specializing in compliance for dually registered broker-dealer and registered investment advisor firms. His extensive expertise encompasses a wide array of regulations, including FINRA rules, the Investment Advisers Act, and ERISA, showcasing his deep understanding of complex compliance landscapes. Rob is known for his exceptional communication skills, which enable him to effectively engage with all levels of management and staff. His problem-solving abilities and negotiation skills have been instrumental in navigating regulatory challenges. Committed to the highest standards of ethics and integrity, he is proficient in compliance monitoring and reporting, ensuring adherence to industry standards. Rob's academic foundation in Economics from St. John Fisher University complements his practical experience, making him a valuable asset in the financial sector. He is passionate about fostering a culture of compliance and is always keen to stay updated on industry developments.

General

Specialist

Technical Background

Leadership Experience

Long-Term Tenure

Professional interests

Industry-specific interests

Leadership Development

Organisational experience

Corporate Experience

Rob Lohwater

Work Experience

company logo

Compliance Officer at

Sage Rutty & Co., Inc

January 2024 - Present

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Chief Compliance Officer at

Sage Rutty & Co., Inc

March 2014 - Present

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Chief Compliance Officer at

Brighton Securities

June 2006 - February 2014

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Chief Compliance Officer at

Winslow, Evans & Crocker, Inc.

November 2003 - June 2006

💼

General Manager at

Goldk Investment Services

July 2000 - November 2003

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Rob Lohwater

Education

St. John Fisher University, Bachelor Of Arts

January 1979 - January 1983

Frequently Asked Questions about Rob Lohwater

What is Rob Lohwater email address?

Rob Lohwater's primary email address is *********@sagerutty.com. To view the full verified email and additional contact details, sign up for free with Muraena.

What company does Rob Lohwater work for?

Rob Lohwater is a Compliance Officer at Sage Rutty & Co., Inc, a company specializing in Monetary Authorities-Central Bank.

Where Rob Lohwater graduated from?

Rob Lohwater holds a degree in Economics from St. John Fisher University.

How can I directly contact Rob Lohwater?

To contact Rob Lohwater directly, you can use the email address *********@sagerutty.com. Complete contact information is available upon registration with Muraena.

Who is Rob Lohwater?

Rob Lohwater is a seasoned Compliance Officer with an impressive four-decade career in the financial services industry, specializing in compliance for dually registered broker-dealer and registered investment advisor firms. His extensive expertise encompasses a wide array of regulations, including FINRA rules, the Investment Advisers Act, and ERISA, showcasing his deep understanding of complex compliance landscapes. Rob is known for his exceptional communication skills, which enable him to effectively engage with all levels of management and staff. His problem-solving abilities and negotiation skills have been instrumental in navigating regulatory challenges. Committed to the highest standards of ethics and integrity, he is proficient in compliance monitoring and reporting, ensuring adherence to industry standards. Rob's academic foundation in Economics from St. John Fisher University complements his practical experience, making him a valuable asset in the financial sector. He is passionate about fostering a culture of compliance and is always keen to stay updated on industry developments.

Rob`s contact details

mail

*********@sagerutty.com

*********@brightonsecurities.com

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Trevor Holly

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