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Detailed Report
ROBERT MARK WEISS
CRD#: 2426948
IA
Investment Adviser
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Previous Broker
SUMMIT FINANCIAL, LLCCRD#: 299322 1605 MAIN STREET
SUITE 905
SARASOTA, FL 34236
Registration History
19952000200520102015202020252 FIRMS2004 - 2007 (3 years)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2018 (9 years)2 FIRMS2018 - 2023 (4 years)IASUMMIT FINANCIAL, LLC (CRD# 299322)2024 - Present (<1 year)BPWA SECURITIES, LLC (CRD# 321974)2023 - 2024 (1 year)BTD SECURITIES (USA) INC. (CRD# 18476)1993 - 2004 (10 years)IAPROVENANCE WEALTH ADVISORS (CRD# 126529)2019 - 2024 (5 years)
Disclosure(s)
View By:
7/22/2008
Customer Dispute
Settled
License(s)

State Registrations

IA
Florida 12/4/2024
Current Registration(s)
IA
SUMMIT FINANCIAL, LLC (CRD#:299322)
1605 MAIN STREET SUITE 905, SARASOTA, FL 34236
Registered with this firm since 12/4/2024
Previous Registration(s)
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 01/29/2019 - 12/02/2024 PROVENANCE WEALTH ADVISORS (CRD#:126529) Sarasota, FL
B
 08/25/2023 - 12/02/2024 PWA SECURITIES, LLC (CRD#:321974) Sarasota, FL
IA
 10/24/2018 - 08/25/2023 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) SARASOTA, FL
B
 10/19/2018 - 08/25/2023 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) FT. LAUDERDALE, FL
IA
 06/01/2009 - 10/22/2018 MORGAN STANLEY (CRD#:149777) SARASOTA, FL
B
 06/01/2009 - 10/22/2018 MORGAN STANLEY (CRD#:149777) SARASOTA, FL
IA
 09/18/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FAIRFIELD, CT
B
 09/18/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FAIRFIELD, CT
IA
 03/12/2004 - 09/20/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) SOUTHPORT, CT
B
 03/02/2004 - 09/20/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) SOUTHPORT, CT
B
 11/19/1993 - 01/16/2004 TD SECURITIES (USA) INC. (CRD#:18476) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.