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Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2019 (9 years)IASUMMIT FINANCIAL, LLC (CRD# 299322)2023 - Present (2 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2023 - 2024 (<1 year)BEDWARD JONES (CRD# 250)2000 - 2009 (9 years)IAEDWARD JONES (CRD# 250)2007 - 2009 (2 years)
Disclosure(s)
View By:
2/6/2019
Employment Separation After Allegations
6/23/2009
Employment Separation After Allegations
5/20/2008
Customer Dispute
Denied
3/14/2001
Customer Dispute
Denied
License(s)

State Registrations

IA
California 2/3/2023

Current Registration(s)
IA
SUMMIT FINANCIAL, LLC (CRD#:299322)
FAIR OAKS, CA
Registered with this firm since 2/3/2023

Previous Registration(s)
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B
08/01/2023 - 05/03/2024 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Fair Oaks, CA
IA
07/27/2009 - 02/12/2019 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) ROSEVILLE, CA
B
07/23/2009 - 02/12/2019 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ROSEVILLE, CA
IA
04/16/2007 - 07/01/2009 EDWARD JONES (CRD#:250) GOLD RIVER, CA
B
02/02/2000 - 07/01/2009 EDWARD JONES (CRD#:250) GOLD RIVER, CA
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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.