SUMMIT FINANCIAL ADVISORS, INC. of MIDDLETOWN, OH is an SEC-registered investment adviser (CRD 145007). Regulatory assets under management: $232.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Commissions.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Miller na Benjamin | VICE PRESIDENT/SECRETARY/TREASURER | Nassau, C5 |
| MILLER ROGER LOWELL | PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| WEED ELLEN MARIE | VICE PRESIDENT | — |
| WEED MATTHEW ALLEN | CHIEF COMPLIANCE OFFICER | — |
| Roger Lowell Miller | PRESIDENT | — |
| Peter Benjamin Miller | VICE PRESIDENT/SECRETARY/TREASURER | — |
| Ellen Marie Weed | VICE PRESIDENT | — |
| Matthew Allen Weed | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-06-11 | regulatory | FAILURE TO FILE AND DISTRIBUTE FORM CRS IN A TIMELY MANNER. | Final | $25K |