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4 Campus Drive, Parsippany, NJ 07054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2019-01-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Equities, Inc. | Parsippany | NJ | 01/1991 | 12/2018 |
| Summit Financial Resources, Inc. | Parsippany | NJ | 01/1991 | 09/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2018 | Present |
| Summit Financial, Llc | Parsippany | NJ | 11/2018 | Present |
(1) Summit Financial, LLC: Inc.-Investment related-4 Campus Drive, Parsippany, NJ 07054-Investment Advisory-Partner-4/2012-2 hrs/mth-100% during trading hrs-Attend partner meetings, discuss firm matters with other partners. (2) Offers Insurance As A Broker Or Agent Through Numerous Insurance Companies. Some Sales Are Through SRM, An Affiliated Company Which Is Licensed To Sell Various Insurance Products. Mr. Stappas Earns Both Cash And Non-Cash Compensation Based On Sales Of These Products. (3) CGS Financial, LLC. Investment related. 6 James Terrace, Towaco, NJ 07082. Advisory Business. Managing Member. Start 10/2020. 160hrs/mo, all during trading hours. Sell 9% interest to SGP and receive equity in SGP.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-06-12 |
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