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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 | 07/1991 | 12/2018 |
| Summit Financial Resources, Inc. | Parsippany | NJ | 07/1991 | 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. LeRoy Earns Both Cash And Non-Cash Compensation Based On Sales Of These Products. 2) Summit Financial, LLC: Investment Related. 4 Campus Drive, Parsippany, NY 07054. RIA, IAR. Start 9/2018. 160hrs/mo all during trading hours. Provide financial advice to clients. 3) LWMG LLC Investment Related. 57 Glenmere Dr Chatham, NJ. Advisory Business. President. Start 10/28/2020. 160/160. Receiving investment advisory fees and financial planning fees. In addition, LWMG LLC will sell a 8% interest to Summit Growth Partners and receive equity interest in SGP.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-07-02 |
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