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Scott Christian Zempel

Summit Financial, LLC

Kenosha, WI

CRD 6116741

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Employer firm

Summit Financial, LLC CRD 299322

$22.5B regulatory AUM 59 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Summit Financial, Llc

4 Campus Drive, Parsippany, NJ 07054 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2024-09-18
  • WI RA
    APPROVED
    Since 2024-09-18

Branch Locations

Kenosha, WI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Gordon Asset Management Kenosha WI 01/2024 11/2024
Empower Retirement Milwaukee WI 04/2012 12/2023
Summit Financial, Llc Parsippany NJ 09/2024 Present
  • 01/2024 → 11/2024
    Gordon Asset Management
    Kenosha, WI
  • 04/2012 → 12/2023
    Empower Retirement
    Milwaukee, WI
  • 09/2024 → Present
    Summit Financial, Llc
    Parsippany, NJ
Previous Registrations
  • 2024-04-03 → 2024-11-08
    Gordon Asset Management, Llc
    Durham, NC
    Kenosha, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-03-30
  • S65 Uniform Investment Adviser Law Examination
    2024-03-30

View on SEC IAPD

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