Derek C. Fiorenza
SUMMIT GROUP RETIREMENT PLANNERS
Exton, PA 19341
Some features on this profile are disabled
CRD#: 5825196
Professional summary
Derek Christopher Fiorenza, AIF®, CFP®, who also goes by Derek Christopher Fiorenza, Aif, Ppc, is a registered financial advisor currently at SUMMIT GROUP RETIREMENT PLANNERS, INC. located in Exton, Pennsylvania and LPL FINANCIAL LLC located in Exton, Pennsylvania.
Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Derek has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Small Business Planning
Debt Management
Budgeting
Education Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Insurance Planning
Retirement Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Derek Christopher Fiorenza, Aif, Ppc
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. Infinity Benefits Group, Inc; investment related; Exton, PA; Insurance; Treasurer; 2007; 25;10. 2. The Summit Group Associates, Inc.; investment related; Exton, PA; DBA for LPL Business (entity for LPL business); 12/2013; 10; 10. 3. Summit Group Retirement Planners, Inc.; investment related; Exton, PA; Registered Investment Advisor; COO and CCO; 11/2013; 250; 160. 4. Skye Dove Enterprises, LLC; Investment Related; Exton, PA; Real Estate Rental; Partner; 03/2016; 10; 0. 5. Home Smart Realty; investment related; Exton, PA; Mortgage/Real Estate Services; 07/2019; 20; 0. 6. Sky Hart Enterprises, LLC; not investment related; Exton PA; production company; CEO; 12/2021; 10; 0.
CRS (Client Relationship Summary) - RIA
Click below to view Derek Christopher Fiorenza's 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®
CFP®
Start date: 2022
Experience
Current
December 13, 2013 - Present
SUMMIT GROUP RETIREMENT PLANNERS, INC.
Office #1: 431 Exton Commons, Exton, PA 19341RIA
CRD#: 169823
Exton, PA
Current
December 10, 2013 - Present
LPL FINANCIAL LLC
Office #1: 431 Exton Commons, Exton, PA 19341RIA
BD
CRD#: 6413
Exton, PA
Past
September 11, 2012 - December 12, 2013
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
KING OF PRUSSIA, PA
Past
September 19, 2011 - December 12, 2013
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
KING OF PRUSSIA, PA
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".
SG
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)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.RR
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
RR
Pennsylvania(12/10/2013)
IAR
Pennsylvania(12/13/2013)
IAR
Texas(3/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SG
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
4
SEC notice filing (6 States and Territories)
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.
Company Information
SUMMIT GROUP RETIREMENT PLANNERS, INC.
CRD#: 169823Exton, PA 19341TRUST BUT VERIFY
Monitor Derek Fiorenza
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
