TW
Tiffany Wharton
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CRD#: 6132453
TW
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.
Tiffany Wharton, who also goes by Tiffany Susan Hathcock, Tiffany Susan Krohn, Tiffany Susan Wharton, was a registered financial professional .
Tiffany is a previously registered financial professional and started their career in finance in 2012. Tiffany had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tiffany Susan Hathcock | Tiffany Susan Krohn | Tiffany Susan Wharton
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.
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®
NoneExperience
Past
January 8, 2025 - November 17, 2025
SUMMIT FINANCIAL, LLC
RIA
CRD#: 299322
STEVENS POINT, WI
Past
November 10, 2023 - January 22, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
MARSHFIELD, WI
Past
November 9, 2023 - January 22, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
MARSHFIELD, WI
Past
June 27, 2023 - September 14, 2023
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
Mosinee, WI
Past
June 23, 2023 - September 14, 2023
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
Mosinee, WI
Past
January 2, 2020 - May 25, 2022
IPI WEALTH MANAGEMENT, INC.
RIA
CRD#: 111872
Saint Robert, MO
Past
January 2, 2020 - May 25, 2022
INVESTMENT PLANNERS, INC.
BD
CRD#: 18557
QUINCY, IL
Past
December 15, 2015 - January 10, 2019
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
FORT WORTH, TX
Past
February 18, 2013 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
SAINT ROBERT, MO
Past
December 7, 2012 - January 10, 2019
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
SAINT ROBERT, MO
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 FINANCIAL, LLC
ADVOCUS PRIVATE WEALTH | WEINERMAN WEALTH MANAGEMENT | WEALTHPLAN ADVANTAGE | VARDHAN WEALTH MANAGEMENT | THE PRIVATE CLIENT GROUP | THE JASKOL GROUP | THE EXECUTIVE WEALTH GROUP | TANISTRY WEALTH MANAGEMENT | SUMMIT FINANCIAL, LLC | SRM PRIVATE WEALTH | SOUTHEAST FINANCIAL GROUP | SILVERTREE, LLC | SALVO WEALTH GROUP | REX GLOBAL WEALTH MANAGEMENT | RETHINKWEALTH | RADIANCE PRIVATE WEALTH | PARSONS BROACH FINANCIAL SERVICES | PANOPTIC WEALTH ADVOCATES | ORACLE PRIVATE WEALTH ADVISORS | NOLAN WEALTH MANAGEMENT | NATIONAL WEALTH ADVISORS, INC. | NASHVILLE PRIVATE WEALTH MANAGEMENT | MRK WEALTH ADVISORS | MIDWAY WEALTH PARTNERS | MEEDER WEALTH MANAGEMENT | LPWM GROUP | LPF FINANCIAL ADVISORS | LIFETIME WEALTH MANAGEMENT, LLC | LEROY WEALTH MANAGEMENT GROUP | LANDSDOWNE PRIVATE WEALTH MANAGEMENT | KYROS PRIVATE WEALTH | IVY WEALTH MANAGEMENT | IVY WEALTH ADVISORS | HERITAGE WEALTH PARTNERS | GREAT LAKES PRIVATE WEALTH | GRANDVIEW SQUARE FINANCIAL | GORDON ASSET MANAGEMENT, LLC | GLOBAL FINANCIAL PARTNERS, LLC | GENEX CONSULTING | GATEWAY ADVISORY, LLC | GARRETT, PERKINS & HORTON ADVISORY PARTNERS | EVEREST CONSULTANTS, LLC | ESSEX WEALTH MANAGEMENT | DULWORTH JASKOL | DOUGLAS ROYCE ADVISORY GROUP, LLC | CROW FINANCIAL ADVISORS | CONWAY WEALTH | CLU WEALTH ADVISORS LLC | CLARITY CAPITAL PARTNERS | CANON CAPITAL WEALTH MANAGEMENT | BRAD WERNER & COMPANY | BOCA RATON PRIVATE WEALTH MANAGEMENT | BFG WEALTH | ARMSTRONG ADVISORS | ARGOSY WEALTH MANAGEMENT LLC
CRD#: 299322 / SEC#: 801-114377
RIA
Registered Investment Advisory firm - (12/3/2018 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
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/9/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
SUMMIT FINANCIAL, LLC
ADVOCUS PRIVATE WEALTH | WEINERMAN WEALTH MANAGEMENT | WEALTHPLAN ADVANTAGE | VARDHAN WEALTH MANAGEMENT | THE PRIVATE CLIENT GROUP | THE JASKOL GROUP | THE EXECUTIVE WEALTH GROUP | TANISTRY WEALTH MANAGEMENT | SUMMIT FINANCIAL, LLC | SRM PRIVATE WEALTH | SOUTHEAST FINANCIAL GROUP | SILVERTREE, LLC | SALVO WEALTH GROUP | REX GLOBAL WEALTH MANAGEMENT | RETHINKWEALTH | RADIANCE PRIVATE WEALTH | PARSONS BROACH FINANCIAL SERVICES | PANOPTIC WEALTH ADVOCATES | ORACLE PRIVATE WEALTH ADVISORS | NOLAN WEALTH MANAGEMENT | NATIONAL WEALTH ADVISORS, INC. | NASHVILLE PRIVATE WEALTH MANAGEMENT | MRK WEALTH ADVISORS | MIDWAY WEALTH PARTNERS | MEEDER WEALTH MANAGEMENT | LPWM GROUP | LPF FINANCIAL ADVISORS | LIFETIME WEALTH MANAGEMENT, LLC | LEROY WEALTH MANAGEMENT GROUP | LANDSDOWNE PRIVATE WEALTH MANAGEMENT | KYROS PRIVATE WEALTH | IVY WEALTH MANAGEMENT | IVY WEALTH ADVISORS | HERITAGE WEALTH PARTNERS | GREAT LAKES PRIVATE WEALTH | GRANDVIEW SQUARE FINANCIAL | GORDON ASSET MANAGEMENT, LLC | GLOBAL FINANCIAL PARTNERS, LLC | GENEX CONSULTING | GATEWAY ADVISORY, LLC | GARRETT, PERKINS & HORTON ADVISORY PARTNERS | EVEREST CONSULTANTS, LLC | ESSEX WEALTH MANAGEMENT | DULWORTH JASKOL | DOUGLAS ROYCE ADVISORY GROUP, LLC | CROW FINANCIAL ADVISORS | CONWAY WEALTH | CLU WEALTH ADVISORS LLC | CLARITY CAPITAL PARTNERS | CANON CAPITAL WEALTH MANAGEMENT | BRAD WERNER & COMPANY | BOCA RATON PRIVATE WEALTH MANAGEMENT | BFG WEALTH | ARMSTRONG ADVISORS | ARGOSY WEALTH MANAGEMENT LLC
CRD#: 299322 / SEC#: 801-114377
RIA
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Contact information
Main Address
4 Campus Drive, Parsippany, NJ 07054
Mailing Address
Phone number
(973) 285-3600
Established
Firm type
Fiscal year end
# of Employees
353
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 22,079 |
| AUM (Assets Under Management) | $ 14,959,048,272 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | ||
| 10/25/2024 | ||
| 12/28/2023 |
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.
