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4 Campus Drive, Parsippany, NJ 07054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2021-08-03 |
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 |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | New York | NY | 12/2010 | 10/2017 |
| Apw Capital, Inc. | Rockaway | NJ | 06/2020 | Present |
| Unemployed | Mendham | NJ | 10/2017 | 06/2020 |
| Aurora Private Wealth | Morristown | NJ | 07/2020 | 08/2021 |
| Summit Financial, Llc | Morristown | NJ | 08/2021 | Present |
06/2020 - WealthPlan Advantage(DBA), Investment Related, 191 Washington Street, Morristown, NJ, 40 hours per week Mr. Valles sells insurance through Summit Risk Management (SRM), LLC which is an affiliate of Summit Financial, LLC that operates from the same location; he earns commissions and allowances on these insurance sales, which vary and overlap with SF business. Mr. Valles joined all Summit entities at or about the same time. He is an insurance agent approved to conduct insurance activity with companies outside of SRM. The approximate number of hours per month that he devotes to this activity can vary.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-07-09 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-17 |
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