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Rob Lohwater
Rob Lohwater
Compliance Officer | Sage Rutty & Co., Inc
City of Rochester, New York, United States
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.
Rob Lohwater
Work Experience
Compliance Officer at
Sage Rutty & Co., Inc
January 2024 - Present
Chief Compliance Officer at
Sage Rutty & Co., Inc
March 2014 - Present
Chief Compliance Officer at
Brighton Securities
June 2006 - February 2014
Chief Compliance Officer at
Winslow, Evans & Crocker, Inc.
November 2003 - June 2006
General Manager at
Goldk Investment Services
July 2000 - November 2003
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
*********@sagerutty.com
*********@brightonsecurities.com
Colleagues
First Vice President, Financial Advisor
Vice-President, Financial Advisor
First Vice President, Financial Advisor
Vice President, Advisor
Vice President, Financial Advisor
First Vice President, Financial Advisor
Vice President, Wealth Manager
Sr. Vice President
Vice President, Financial Advisor
President