Anthony J. Fiorenza

SUMMIT GROUP RETIREMENT PLANNERS

Exton, PA 19341

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CRD#: 1149077

Professional summary

Anthony John Fiorenza, AIF®, who also goes by Aj Fiorenza, Tone Fiorenza, Tony Fiorenza, Anthony John Fiorenza, Aif, is a registered financial advisor currently at SUMMIT GROUP RETIREMENT PLANNERS, INC. located in Exton, Pennsylvania and LPL FINANCIAL LLC located in Exton, Pennsylvania.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Anthony has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aj Fiorenza | Tone Fiorenza | Tony Fiorenza | Anthony John Fiorenza, Aif

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. The Summit Group Associates, Inc.; investment related; Exton, PA; DBA for LPL Business (entity for LPL business); 12/2013; 20; 10. 2. Infinity Benefits Group, Inc.; investment related; Exton, PA; Insurance Agency; Owner/Agent of Insurance Agency; 12/2013; 20;10; offering fixed annuities, term insurance, group medical, whole life. 3. Summit Group Retirement Planners, Inc.; investment related; Exton, PA; Registered Investment Advisor; CEO; 12/2013; 200; 160. 4. Sky Dove Enterprises, LLC; investment related; Exton, PA; Real Estate Rental; 06/2019; 5; 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony John Fiorenza's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

December 13, 2013 - Present

SUMMIT GROUP RETIREMENT PLANNERS, INC.

Office #1: 431 Exton Commons, Exton, PA 19341

RIA

CRD#: 169823

Exton, PA

Current

December 10, 2013 - Present

LPL FINANCIAL LLC

Office #1: 431 Exton Commons, Exton, PA 19341

RIA

CRD#: 6413

Exton, PA

Past

October 16, 2009 - December 12, 2013

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

KING OF PRUSSIA, PA

Past

November 30, 2005 - December 12, 2013

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

KING OF PRUSSIA, PA

Past

March 2, 2000 - December 1, 2005

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

January 5, 1999 - March 13, 2000

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

April 20, 1995 - December 31, 1998

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

November 11, 1992 - March 7, 1995

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

June 15, 1987 - December 15, 1987

CB BROKERAGE SERVICE, INC.

CRD#: 16796

Past

August 30, 1983 - June 17, 1986

VANGUARD MARKETING CORPORATION

CRD#: 7452

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SUMMIT GROUP RETIREMENT PLANNERS, INC.

SGRP | VALLEY CREEK ADVISORS, LLC | SUMMIT GROUP RETIREMENT PLANNERS, INC. | SUMMIT GROUP INVESTOR STRATEGISTS

CRD#: 169823 / SEC#: 801-110664

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

New Jersey

Registered Investment Advisory firm - (6/9/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/5/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/23/2024)

California
(5/13/2022)

Colorado
(11/22/2019)

Delaware
(1/15/2014)

District of Columbia
(12/7/2018)

Florida
(1/15/2014)

Maryland
(3/21/2016)

Massachusetts
(10/28/2025)

Minnesota
(11/25/2019)

New Jersey
(1/15/2014)

New York
(8/4/2014)

North Carolina
(8/1/2024)

Pennsylvania
(12/10/2013)

IAR

Pennsylvania
(12/13/2013)

Texas
(3/5/2015)

IAR

Texas
(3/27/2023)

West Virginia
(2/4/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/5/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/29/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SUMMIT GROUP RETIREMENT PLANNERS, INC.

SGRP | VALLEY CREEK ADVISORS, LLC | SUMMIT GROUP RETIREMENT PLANNERS, INC. | SUMMIT GROUP INVESTOR STRATEGISTS

CRD#: 169823 / SEC#: 801-110664

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

New Jersey

Registered Investment Advisory firm - (6/9/2017 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/5/2017 Terminated)

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Contact information

Main Address

431 Exton Commons, Exton, PA 19341

Mailing Address

Phone number

(484) 467-7899

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUMMIT GROUP RETIREMENT PLANNERS, INC. BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	4,484
AUM (Assets Under Management)	$ 261,931,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Anthony J. Fiorenza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony John Fiorenza's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

OSAIC FS, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MUTUAL SERVICE CORPORATION

NEW ENGLAND SECURITIES

CB BROKERAGE SERVICE, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

SUMMIT GROUP RETIREMENT PLANNERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2009

Series 63

Date: 11/16/1992

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/5/1992

Series 6

Date: 8/29/1983

FINRA

Current Firm

SUMMIT GROUP RETIREMENT PLANNERS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT GROUP RETIREMENT PLANNERS, INC.

TRUST BUT VERIFY

Contact information

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