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PETER JONATHAN VALLES
CRD#: 2692789
IA
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SUMMIT FINANCIAL, LLCCRD#: 299322 191 WASHINGTON AVENUE
MORRISTOWN, NJ 07960
MORRISTOWN, NJ 07960
APW CAPITAL, INC.CRD#: 43814 191 Washington Street
Morristown, NJ 07960
Morristown, NJ 07960
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10/17/2017
Employment Separation After Allegations
State Registrations
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New Jersey 8/3/2021
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New Jersey 8/16/2021
SRO Registrations
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Registered with this firm since 8/13/2021
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Registered with this firm since 8/3/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/15/2020 - 08/03/2021 | Morristown, NJ | |
B | 06/17/2020 - 08/03/2021 | Morristown, NJ | |
B | 01/25/2018 - 07/03/2018 | NEW YORK, NY | |
B | 12/07/2010 - 10/24/2017 | NEW YORK, NY | |
B | 05/09/2006 - 11/12/2010 | NEW YORK, NY | |
B | 08/03/2005 - 05/23/2006 | NEW YORK, NY | |
B | 06/01/2005 - 06/30/2005 | NEW YORK, NY | |
B | 04/08/1998 - 06/22/2005 | HARTFORD, CT | |
B | 02/06/1997 - 07/17/1998 | NEW YORK, NY | |
B | 09/16/1996 - 02/07/1997 | SHERMAN OAKS, CA | |
B | 02/08/1996 - 03/18/1996 | NEWARK, NJ |
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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.
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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.
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