Robert S. Farrell

SUMMIT GLOBAL INVESTMENTS

Bountiful, UT 84010

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CRD#: 2531767

Professional summary

Robert Steven Farrell is a registered financial advisor currently at SUMMIT GLOBAL INVESTMENTS, LLC located in Bountiful, Utah.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Robert has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Steven Farrell'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®

None

Experience

Current

March 18, 2021 - Present

SUMMIT GLOBAL INVESTMENTS, LLC

Office #1: 620 South Main Street, Bountiful, UT 84010

RIA

CRD#: 157091

Bountiful, UT

Past

December 19, 2007 - March 17, 2021

PRESIDIUM PARTNERS, LLC

RIA

CRD#: 144589

SAN RAMON, CA

Past

January 17, 2003 - August 24, 2004

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

July 31, 2002 - August 24, 2004

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 2, 1997 - January 17, 2003

PERSHING LLC

RIA

CRD#: 7560

SAN FRANCISCO, CA

Past

September 2, 1997 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

September 13, 1994 - August 29, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

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 GLOBAL INVESTMENTS, LLC

HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS

CRD#: 157091 / SEC#: 801-76631

RIA

Registered Investment Advisory firm - (5/10/2012 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(3/18/2021)

IAR

Idaho
(5/3/2022)

IAR

Utah
(3/18/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/18/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/16/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/12/1994

General Securities Representative Examination

Current Firm

SUMMIT GLOBAL INVESTMENTS, LLC

HARDEN, DAVID | SUMMIT GLOBAL PRIVATE WEALTH | SUMMIT GLOBAL INVESTMENTS, LLC | SUMMIT GLOBAL INVESTMENTS

CRD#: 157091 / SEC#: 801-76631

RIA

Registered Investment Advisory firm - (5/10/2012 Approved)

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Contact information

Main Address

620 South Main Street, Bountiful, UT 84010

Mailing Address

620 South Main Street, Bountiful, UT 84010

Phone number

(888) 251-4847

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SGI BROCHURE (9/15/2025)

SGI BROCHURE (5/21/2025)

Regulatory assets under management

Total Number of Accounts	6,923
AUM (Assets Under Management)	$ 1,921,141,101

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.

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Firm Stability Insights

Robert S. Farrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Steven Farrell's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRESIDIUM PARTNERS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

PERSHING LLC

MONTGOMERY SECURITIES

Primary Firm SEC Registration

SUMMIT GLOBAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2007

Series 63

Date: 9/16/1994

Series 7

Date: 9/12/1994

Current Firm

SUMMIT GLOBAL INVESTMENTS, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT GLOBAL INVESTMENTS, LLC

TRUST BUT VERIFY

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