Summit At a Glance

Background
Founded in 1993, Summit is today one of the nation's fastest growing independent broker-dealers and has been recognized as the #1 Independent Boutique Broker-Dealer in the country and as one of the "Top 50 Independent Broker-Dealers." by leading trade publications.

Number of Advisors
Summit's network of financial advisors is over 330 strong and growing, operating from over 225 offices throughout the United States. Our goal, however, is not to create a large firm with thousands of financial advisors; rather, we are driven to maintain a boutique firm of high quality, high producing financial advisors.

Management
Senior management has in excess of 250 years of experience in servicing the needs of both independent and wirehouse advisors.

Products
The Company offers a full complement of investment products and services, including traditional brokerage services, fee-based products, and annuities and other insurance-related products.

Clearing Firm
Pershing, LLC (a subsidiary of The Bank of New York Mellon Corporation).

Memberships
Financial Industry Regulatory Authority (FINRA)
Securities Investor Protection Corporation (SIPC)
Municipal Securities Rulemaking Board (MSRB)
National Futures Association (NFA)
Securities Industry and Financial Markets Association (SIFMA)
Financial Services Institute (FSI)