SUMMIT PLANNING GROUP, INC. of E. SYRACUSE, NY is an SEC-registered investment adviser (CRD 125994). Regulatory assets under management: $111.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Richard John Urciuoli | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| URCIUOLI JOSEPH JOHN | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-18 | regulatory | THESE PROCEEDINGS ARISE OUT OF BREACHES OF THE FIDUCIARY DUTY OF CARE AND COMPLIANCE FAILURES BY SUMMIT, A REGISTERED INVESTMENT ADVISER, AND URCIUOLI, SUMMIT'S SOLE OWNER AND INVESTMENT PROFESSIONAL, WHO INVESTED ADVISORY CLIENT ASSETS IN A VOLATILITY LINKED EXCHANGE TRADED PRODUCT-THE IPATH SERIES… | Final | $109K |