Katherine Adams

SUMMIT WEALTH GROUP LLC

EXETER, NH 03833

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CRD#: 4171657

Professional summary

Katherine Adams is a registered financial advisor currently at SUMMIT WEALTH GROUP LLC located in Exeter, New Hampshire.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Katherine has worked at 6 firms and has passed the Series 66, SIE, Series 31 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 Katherine Adams'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

February 10, 2016 - Present

SUMMIT WEALTH GROUP LLC

Office #1: 20b Hampton Road, Exeter, NH 03833

RIA

CRD#: 282205

EXETER, NH

Past

September 6, 2012 - January 26, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

WHITE RIVER JUNCTION, VT

Past

September 6, 2012 - December 10, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WHITE RIVER JUNCTION, VT

Past

June 1, 2009 - November 10, 2011

MORGAN STANLEY

RIA

CRD#: 149777

LEBANON, NH

Past

June 1, 2009 - November 10, 2011

MORGAN STANLEY

CRD#: 149777

LEBANON, NH

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

LEBANON, NH

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

LEBANON, NH

Past

August 8, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WEST LEBANON, NH

Past

June 20, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WEST LEBANON, NH

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 WEALTH GROUP LLC

CRD#: 282205 / SEC#: 801-107026

RIA

Registered Investment Advisory firm - (12/23/2015 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

Vermont
(2/10/2016)

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 66

Date: 7/5/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/10/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/19/2000

General Securities Representative Examination

Current Firm

SUMMIT WEALTH GROUP LLC

CRD#: 282205 / SEC#: 801-107026

RIA

Registered Investment Advisory firm - (12/23/2015 Approved)

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Contact information

Main Address

20b Hampton Road, Exeter, NH 03833

Mailing Address

Phone number

(802) 295-5300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (2/3/2025)

Regulatory assets under management

Total Number of Accounts	1,401
AUM (Assets Under Management)	$ 656,268,782

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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Advisor Monitoring

Firm Stability Insights

Katherine Adams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Adams's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SUMMIT WEALTH GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/5/2000

SIE

Date: 12/10/2015

Series 31

Date: 7/10/2000

Series 7

Date: 6/19/2000

Current Firm

SUMMIT WEALTH GROUP LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT WEALTH GROUP LLC

TRUST BUT VERIFY

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