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JS

John D. Saxe

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CRD#: 2990488
JS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Duff Saxe was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1998. John had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1. Summit Trail Advisors, Investment Related, Address: 140 East 45th Street, New York, NY 10017, RIA, Position: Partner, Start Date: 08/2015, 200 hours devoted a month, 6 hours devoted during securities trading hours, Duties: Asset allocation, Manager research, market research, client correspondence. 2. Tombrock Corp.: Non- Investment Related, Address: 111 Cherry Street, New , Canaan, CT 06840, Real Estate Management, Position: Director, Start Date 2007,2 hours devoted a month, Duties: Advisory of family owned real estate management and investment company. Attend annual board of directors meeting and periodic conference calls. 3. SUMMIT TRAIL SECURITIES, LLC, INVESTMENT RELATED, SAME ADDRESS, BROKER� DEALER, REGISTERED REPRESENTATIVE, 2/3/2017, 5-10 HOURS DEVOTED A MONTH

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 15, 2021 - August 20, 2025

SUMMIT TRAIL ADVISORS, LLC

RIA
CRD#: 220519
NEW YORK, NY
Past

February 3, 2017 - August 20, 2025

SUMMIT TRAIL SECURITIES, LLC

BD
CRD#: 285784
NEW YORK, NY
Past

October 19, 2015 - August 16, 2016

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
New York, NY
Past

October 5, 2010 - August 24, 2015

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
NEW YORK, NY
Past

August 11, 2010 - August 24, 2015

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

August 31, 1998 - January 28, 2002

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

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 TRAIL ADVISORS, LLC
SUMMIT TRAIL ADVISORS, LLC
PALMETTO DESIGNS, LLC | SUMMIT TRAIL ADVISORS, LLC

CRD#: 220519 / SEC#: 801-99352

RIA
Registered Investment Advisory firm - (6/11/2015 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/4/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/7/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/15/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/11/2017
General Securities Principal Examination

Current Firm

SUMMIT TRAIL ADVISORS, LLC
SUMMIT TRAIL ADVISORS, LLC
PALMETTO DESIGNS, LLC | SUMMIT TRAIL ADVISORS, LLC

CRD#: 220519 / SEC#: 801-99352

RIA
Registered Investment Advisory firm - (6/11/2015 Approved)
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Contact information

Main Address
2 Grand Central Tower 140 E 45th Street 28th Floor, New York, NY, 10017
Mailing Address
Phone number
(212) 812-7010
Established
Firm type
Fiscal year end
# of Employees
107

SEC notice filing (37 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/22/2025)
WRAP FEE BROCHURE SUMMIT TRAIL (3/31/2025)

Regulatory assets under management

Total Number of Accounts22,528
AUM (Assets Under Management)$ 26,156,178,587

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/26/2025
Cover Page
Report
10/22/2024
Cover Page
Report
06/29/2023
Cover Page
Report

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.

Company Information

SUMMIT TRAIL ADVISORS, LLC

SUMMIT TRAIL ADVISORS, LLC

CRD#: 220519

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