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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 Financial Resources, Inc. | Parsippany | NJ | 01/1996 | 09/2018 |
| Summit Equities, Inc. | Parsippany | NJ | 01/1996 | 12/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2018 | Present |
| Summit Financial, Llc | Parsippany | NJ | 12/2018 | Present |
1. Summit Financial Resources. Investment Related. 4 Campus Drive, Parsippany NJ 07054. RIA. Administrative Assistant. 9/2018. 160 hours per month, all during trading hours. Assist reps with client paperwork. 2. Summit Risk Management. Not investment related. 4 Campus Drive, Parsippany NJ 07054. Insurance. Agent. 1/1996. Various hours each month, some during trading hours. 3. Fixed Insurance. Not investment related. 4 Campus Drive, Parsippany NJ 07054. Insurance Agent. 1/1996. Various hours each month, some during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-22 |
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