Best Investors
Account
Sign in
Best Investors
Account
Sign in
4 Campus Drive, Parsippany, NJ 07054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-08 |
Branch Locations
1025 Westchester Avenue Suite 318, White Plains, NY 10604 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Equities, Inc. | Parsippany | NJ | 03/2008 | 12/2018 |
| Summit Financial Resources, Inc. | Parsippany | NJ | 03/2008 | 09/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2018 | Present |
| Summit Financial, Llc | Parsippany | NJ | 11/2018 | Present |
(1) MR. RIOSECO IS A LACROSSE COACH FOR 2WAY LACROSSE CLUB (YOUTH CLUB LACROSSE) LOCATED AT BRUNSWICK SCHOOL, GREENWICH, CT; NON-INVESTMENT RELATED; WEBSITE: 2WAYLACROSSE.COM; STARTED 1/1/2023, DEVOTES 30 HOURS A MONTH TO THIS OUTSIDE ACTIVITY MOSTLY ON WEEKENDS; ZERO HOURS DURING SECURITIES TRADING. (2) MR. RIOSECO IS ALSO A MEMBER OF MOJO, A NEIGHBORHOOD BAND; HE PROVIDES VOCALS AND PLAYS GUITAR. MR. RIOSECO DEVOTES 6-10 HOURS A MONTH TO THIS OUTSIDE BUSINESS ACTIVITY AND ZERO HOURS DURING SECURITIES TRADING HOURS. (3) SUMMIT FINANCIAL, LLC: INVESTMENT RELATED. 1025 WESTCHESTER AVE, SUITE 318, WHITE PLAINS, NY 10604. INVESTMENT ADVISOR. START 3/2008. 175HRS/MO, ALL DURING TRADING HOURS. PROVIDE INVESTMENT ADVICE. (4) 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 September 27, 2023. 0 hours per month; maybe 1 or 2 if there is a fit for a banking service for a client. 0 hours during securities trading. (5) 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. Rioseco Earns Both Cash And Non-Cash Compensation Based On Sales Of These Products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-04 |
Reach out to this advisor