ED
Erik C. Dellith
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CRD#: 6316550
ED
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.
Erik Charles Dellith was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 2020. Erik had worked at 2 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.
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) Rex Global Wealth Management/Summit Financial LLC - Investment Related - 4 Campus Drive, Parsippany, NJ - RIA/Investment Advisory - Director of Planning - 11/2018. 2022/2023: Part-Time for Rex Global Wealth Management; hours will vary depending on availability with teaching position, approximately 35 hours/month; - Financial Planning and Investment Advisory ------ 2) MR. DELLITH IS A 50% CO-OWNER OF PAND, LLC, D/B/A/ PA DE THAI RESTAURANT LOCATED AT 264 OLD RIVER ROAD, EDGEWATER, NJ 07022. THIS IS A NON-INVESTMENT RELATED OUTSIDE BUSINESS ACTIVITY WHICH HE STARTED IN MARCH, 2011. HE DEVOTES LESS THAN FIVE HOURS PER MONTH TO THIS ACTIVITY AND DOES NOT WORK AT THIS ESTABLISHMENT, NOR DEVOTE ANY HOURS TO THIS BUSINESS DURING SECURITIES TRADING HOURS. 3) University of Mount Saint Vincent--Investment related: NO--Address:6301 Riverdale Avenue, Riverdale NY 10471-- Nature: Education/Religious--Position: Professor of Economics & Finance--Start Date: 01/2008--Hours/month: 160--hours/month devoted to this outside activity; 0 hours/month during trading hours: Teach economics and finance to undergraduate and MBA students. 4) Bees Creative Art Studio - not investment related; 50% Co-owner operating out of 176 Hamilton Ave., Fairview NJ 07022; Start date: 2/2017, works less than 10 hours per month, none during securities trading hours; no involvement in the running of the business, zero job responsibilities. 5) 46 Sterling Road, LLC: real estate related located at 46 Sterling Road, Greenwood Lake, NJ 10925; this is a real estate rental business activity, Mr. Dellith serves as a LLC member and a co-owner (50%), established 11/2021. He will devote 10 hours a month to this activity and zero hours during securities trading. 6) Freelance Writer - not investment related; author of fiction stories start date 1/2013; less than 10 hours total during the month, 0 hours during securities trading; located at 176 Hamilton Ave. Fairview NJ 07022. 7) Freelance Writer - author of articles on the economy and financial markets; nature of business is to educate and inform; 176 Hamilton Ave., Fairview NJ 07022; less than 10 hours during the month, 0 hours during securities training. 8) Economics Ideas, LLC - 100% owner of this economic consulting service; start 5/2012; Provide economic consulting services related but not limited to reports on macroeconomic dynamics, economic impact studies of new businesses, develop financial statements for start up companies; devotes less than 10 hours per month, 0 hours during securities trading; not much activity, keeps this OBA current in the event an opportunity pops up; 176 Hamilton Ave. Fairview NJ 07022.
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
February 13, 2021 - December 9, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Parsippany, NJ
Past
July 17, 2020 - December 6, 2024
SUMMIT FINANCIAL, LLC
RIA
CRD#: 299322
PARSIPPANY, NJ
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: 6/26/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 2/13/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.
CRD#: 35747 / SEC#: , 8-46844
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
