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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
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Equities Inc | Parsippany | NJ | 09/2014 | 12/2018 |
| Summit Financial Resources, Inc. | Parsippany | NJ | 09/2014 | 09/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2018 | Present |
| Summit Financial, Llc | Parsippany | NJ | 12/2018 | 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. CEAR EARNS BOTH CASH AND NON-CASH COMPENSATION BASED ON SALES OF THESE PRODUCTS. (2) SUMMIT FINANCIAL, LLC: INVESTMENT RELATED BUSINESS. LOCATED AT 4 CAMPUS DRIVE, PARSIPPANY, NJ 07054. RIA. TITLE IS IAR. STARTED IN 09/2018. APPROXIMATELY 160 HRS/MO DEVOTED. APPROXIMATELY 160 HRS/MO DEVOTED DURING TRADING HOURS. DUTIES ARE TO PROVIDE FINANCIAL ADVICE TO CLIENTS. (3) Fieldpoint Private Bank & Trust, located at 100 Field Point Road, Greenwich, CT 06830. Refers clients to the bank and receives a referral fee for bank loans, asset backed security loans, mortgages and other type of loans. No position held within the bank, this is just referral business to help Summit clients with services they provide; started February, 2023. Less than 1 hour per month, if there is a fit for a banking service for a client. Less than 1 hour a month during securities trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-15 |
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