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4 Campus Drive, Parsippany, NJ 07054 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-02-08 |
| NJ | RA | APPROVED | 2019-01-03 |
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 | 02/2015 | 02/2017 |
| Summit Risk Management, Inc. | Parsippany | NJ | 07/2013 | 02/2017 |
| Summit Financial Resources, Inc. | Parsippany | NJ | 02/2017 | 09/2018 |
| Summit Equities, Inc. | Parsippany | NJ | 02/2017 | 12/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 09/2018 | Present |
| Summit Financial, Llc | Parsippany | NJ | 11/2018 | Present |
(1) Summit Financial, LLC: DBA National Wealth Advisors, Inc.-Investment related-1025 Westchester Ave, Ste. 318-White Plains, NY 10604-RIA-Wealth Advisor-2/2017-160 hrs/mth-100% during trading hrs-Advises clients on financial matters. (2) 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. Simini Earns Both Cash And Non-Cash Compensation Based On Sales Of These Products. (3) Millennium Brokerage Group-Investment related-39 Soundview Drive, Rocky Point, NY 11778-Insurance related-Mr. Simini sells insurance through Millenium Brokerage Group. He earns commissions on these insurance sales, which vary and overlap with Summit business. He joined Millennium Brokerage Group about the same time he joined Summit. The approximate number of hours per month that he devotes to this activity can vary. (4) Trust Financial Services. Investment Related. 215 Ridgedale Avenue Suite 200, Florham Park, NJ, 07932. Fixed Insurance. Agent. Start Date: 09/01/2024. 1-2hrs/ month; none during trading hours. This is a brokerage group I will be placing insurance through for fixed insurance only.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 2015-06-26 |
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