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2 Grand Central Tower 140 E 45Th Street, 28Th Floor, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-09-14 |
Branch Locations
2 Grand Central Tower 140 E 45Th Street, 28Th Floor, New York, NY 10017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 01/2016 | 03/2017 |
| Summit Trail Advisors | New York | NY | 10/2015 | Present |
| Summit Trail Securities, Llc | New York | NY | 02/2017 | Present |
(1) Summit Trail Advisors, LLC, Investment-related, 140 East 45th Street, New York, NY, 10017, RIA, Partner, 10/26/2015, 160 hrs/month all within securities trading hours, fund manager research. (2) SUMMIT TRAIL SECURITIES, LLC, INVESTMENT RELATED, SAME ADDRESS, BROKER DEALER, REGISTERED REPRESENTATIVE, 3/4/2017, 160 HOURS DEVOTED A MONTH, 160 HOURS DEVOTED DURING SECURITIES TRADING HOURS, COMMISSION BASED ACTIVITY
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-01-19 |
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