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TS

Thomas Stappas

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CRD#: 855198
TS

Professional summary

Thomas Stappas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Thomas had worked at 3 firms, which includes SUMMIT FINANCIAL RESOURCES INC, SUMMIT EQUITIES INC., LINCOLN FINANCIAL DISTRIBUTORS INC..

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.
The advisor shows no other business activity.

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

June 13, 2002 - July 26, 2018

SUMMIT FINANCIAL RESOURCES INC

RIA
CRD#: 104990
PARSIPPANY, NJ
Past

June 5, 2002 - July 26, 2018

SUMMIT EQUITIES, INC.

RIA
CRD#: 11039
PARSIPPANY, NJ
Past

August 18, 1993 - July 26, 2018

SUMMIT EQUITIES, INC.

BD
CRD#: 11039
PARSIPPANY, NJ
Past

July 28, 1978 - February 20, 1992

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA

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
Series 63
Date: 6/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/26/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 7/24/1978
Registered Representative Examination

Current Firm

SF
SUMMIT FINANCIAL RESOURCES INC
ARMENTI PLANNING CO | THE PRIVATE CLIENT GROUP LLC | THE IOLA FINANCIAL GROUP | THE FAMILY WEALTH INSTITUTE | THE ESSEX GROUP | TANISTRY WEALTH MANAGEMENT | SUMMIT FINANCIAL RESOURCES INC | SPARTAN FINANCIAL GROUP LLC | REX GLOBAL WEALTH MANAGEMENT | PHARMAEXECUTIVE WEALTH ADVISORS | NOLAN WEALTH MANAGEMENT LLC | NATIONAL WEALTH ADVISORS | LEROY WEALTH MANAGEMENT | INTEGRATED WEALTH MANAGEMENT | HF ADVISORS | GOLDENTHAL & SUSS FINANCIAL SERVICES INC. | FINANCIAL PRODUCTS INC. | FAMILY WEALTH PLANNING | EXECUTIVE WEALTH PLANNING GROUP | CONWAY WEALTH GROUP LLC

CRD#: 104990 / SEC#: 801-18223

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Contact information

Main Address
4 Campus Dr, Parsippany, NJ 07054-0413
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SUMMIT FINANCIAL RESOURCES INC. (7/23/2018)

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 FINANCIAL RESOURCES INC

CRD#: 104990

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