SUMMIT FINANCIAL, LLC of PARSIPPANY, NJ is an SEC-registered investment adviser (CRD 299322). Regulatory assets under management: $22.5B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Mara Deborah Stempler | CHIEF FINANCIAL OFFICER | — |
| Steven Weinman | PRESIDENT, DIRECTOR | — |
| Michael Collin Bremer | CHIEF OPERATIONS OFFICER | — |
| Stanley Gregor | CHIEF EXECUTIVE OFFICER AND DIRECTOR; MEMBER | — |
| Esmat Bahar Hawkesworth | CHIEF LEGAL OFFICER,, DIRECTOR | — |
| Anthony Lawrence Mcelynn | CHIEF COMPLIANCE OFFICER | — |
| STEMPLER MARA DEBORAH | CHIEF FINANCIAL OFFICER | — |
| ROWEK JOSEPH FRANCIS | VP FINANCIAL PLANNING | — |
| WEINMAN STEVEN | PRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR; PRESIDENT, DIRECTOR | — |
| BARRY KEVIN DANIEL | CHIEF INVESTMENT OFFICER | — |
| LEFKOWITZ MIRIAM | CHIEF REGULATORY OFFICER | — |
| MCELYNN ANTHONY LAWRENCE | CHIEF COMPLIANCE OFFICER | — |
| HAWKESWORTH ESMAT BAHAR | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER,, CHIEF COMPLIANCE OFFICER , DIRECTOR; CHIEF LEGAL OFFICER, DIRECTOR (+1 more) | — |
| BREMER MICHAEL COLLIN | CHIEF OPERATIONS OFFICER | — |
| WEISS CRAIG BARRY | CHIEF COMPLIANCE OFFICER | — |
| GREGOR STANLEY | CEO AND DIRECTOR; CHIEF EXECUTIVE OFFICER AND DIRECTOR; MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-26 | regulatory | ALLEGED FAILURE TO REASONABLY SUPERVISE REGISTERED REPRESENTATIVES(AS DEFINED BY MA LAWS) TO ASSURE COMPLIANCE WITH MA PRIVACY LAWS, RESULTING IN VIOLATION OF MASS.GEN.LAWS. CH110A, SECTION 204(A)(2)(J) | Final | $100K |
| 2017-05-01 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE ITS REGISTERED REPRESENTATIVES' RECOMMENDATIONS OF MULTI-SHARE CLASS VARIABLE ANNUITIES (VAS) TO CUSTOMERS AND FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A R… | Final | $325K |