Douglas Royce

Employer firm

Summit Financial, LLC CRD 299322

$22.5B regulatory AUM 59 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → 09/2019
  Farmers Insurance
  Irvington, NY
• 03/2017 → 09/2019
  Farmers Financial Solutions
  Irvington, NY
• 09/2019 → 02/2023
  Pruco Securities, Llc.
  White Plains, NY
• 09/2019 → 02/2023
  Prudential Insurance Company Of America
  White Plains, NY
• 02/2023 → 07/2023
  Unemployed
  New Rochelle, NY
• 07/2023 → Present
  Summit Financial, Llc
  Parsippany, NJ
• 07/2023 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY

Previous Registrations

• 2021-08-26 → 2023-02-07
  Pruco Securities, Llc.
  Irvington, NY
  White Plains, NY
  White Plains, NY

Other Businesses

(1) Summit Financial \ Investment Related - Yes \ At registered Location \ RIA \ Advisor \ 4/17/2023 \ Full Time \ During all NYSE open trading hours \ Advisor (2) Fixed Insurance \ Investment Related - Yes \ At registered Location \ Fixed Insurance/Annuity \ Agent \ 40 hrs \ 40 hours during NYSE open trading hours \ Provide insurance advice based on the needs of client(s). (3) PKSF \ Investment Related - Yes \ At registered Location \ Fixed Insurance/Annuity \ Agent \ 40 hrs \ 40 hours during NYSE open trading hours \ Provide insurance advice based on the needs of client(s). (4) Douglas Royce Advisory Group, LLC \ Investment Related - Yes \ 30 Antler Place, New Rochelle, New York \ Independent Insurance Agent / Agency \ Owner/President/Agent \ 40 hrs \ During all hours during NYSE open trading hours \ Personal & Commercial lines for P & C

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-05-11
• S63 Uniform Securities Agent State Law Examination
  2013-10-28

Other Names

• Douglas Royce
• Douglas Adam Royce