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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 | 07/2002 | 12/2018 |
| Summit Financial Resources, Inc. | Parsippany | NJ | 07/2002 | 09/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2018 | Present |
| Summit Financial, Llc | Parsippany | NJ | 11/2018 | Present |
(1) 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. Barthold Earns Both Cash And Non-Cash Compensation Based On Sales Of These Products. (2) Summit Financial, LLC: Investment Related: 4 Campus Drive Parsippany, NJ 07054; RIA; IAR; 09/2018; 160 Hours/month' 160 Hours/Month during securities hours; Provide Financial Advice to Clients
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-20 |
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