About Summit …

"Summit offers the personal touch of an exclusive boutique broker-dealer

coupled with the resources and services of the largest firms in the industry."

“Our goal is not to create a large firm with thousands of advisors; rather,

we are driven to maintain a boutique firm of high quality financial advisors." 



Formerly an independent broker-dealer, Summit was founded in 1993 as Summit Brokerage Services.  Over the years Summit became one of the nation's fastest growing independent broker-dealers and was ranked by Investment News magazine as one of the "Top 50 Independent Broker-Dealers."  Summit was also recognized as "The #1 Independent Boutique Broker-Dealer in the Country" by a leading trade publication. To further enhance its unique culture within the financial industry and provide even more business support and capabilities to its brokers, Summit withdrew its broker-dealer registration and became a Region of the Cetera Advisor Networks broker-dealer system in September of 2019, changing its name to Summit Financial Networks.

Number of Advisors

Summit's network of financial advisors is over 450 strong and growing, operating from over 300 offices throughout the United States. Our goal, however, is not to create a large firm with thousands of advisors; rather, we are driven to maintain a boutique firm of high quality financial advisors.

Clearing Firms

First Clearing, LLC, (a subsidiary of Wells Fargo & Company, one of the strongest financial services companies in the U.S.).

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


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


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.


  • 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)


Summit understands the importance of having the best possible research, and therefore provides the ability to access a wide variety of high quality and well-regarded research. More importantly, we operate without any bias or preference for particular products or sponsors.


Summit's Compliance Department's primary duty is to ensure the highest levels of compliance with federal, state and industry rules and regulations. All of Summit's compliance principals have worked in different brokerage capacities. With a unique consultative and proactive approach to compliance supervision, Summit's experienced compliance principals can provide brokers with excellent guidance and assistance.

Privacy Statement

Summit Financial Networks 1 ("Summit") is committed to safeguarding the confidential information of its clients. This information includes all personal data that we collect from you in connection with any of the services provided by Summit. Read More...