Experience the Highest-Rated Independent Broker-Dealer

Voted the #1 Independent Boutique Broker-Dealer in the Country*

Don Shula and Summit

As the winningest coach in the NFL and as the only coach to ever lead an NFL team to an undefeated season, he currently holds the NFL record for the most career wins with 347. Coach Shula's legendary characteristics—leadership, integrity and honor—make him Summit's ideal spokesperson.

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Meet Summit's Advisors

The people at Summit make the difference. Hear what our advisors have to say about Summit in a brief video presentation.

Providing the best possible service to our advisors is the core of what we do, and one of the reasons why Summit's advisor retention rate is among the highest in the industry. Our goal, quite simply, is to provide the support our financial advisors need and deserve to service their clients without limitation, and to do so in such a way that makes them proud to call Summit home.

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​Our Mission


At Summit, our mission is clear and unequivocal: To treat our financial advisors as our customers and to provide them with the same level of service and support that they provide to their clients in a way that makes them want to call Summit their home.

Summit at a Glance

Our Philosophy

We recognize that servicing your clients is the most important thing you do, and servicing you is the most important thing we do.

Background

Founded in 1993, we are one of the nation's fastest-growing independent broker-dealers and have been recognized as the #1 independent boutique broker-dealer in the country.

Number of Advisors

Our network of financial advisors is over 600 strong, operating from over 450 branch offices throughout the United States.

Management

Senior management has in excess of 250 years of experience in servicing the needs of both independent and wirehouse advisors.

Products

We offer a full complement of investment products and services, including traditional brokerage services, fee-based products and annuities and other insurance-related products.

Clearing Firms

First Clearing LLC, a registered broker-dealer and an affiliate of Wells Fargo & Company; Pershing, LLC (a subsidiary of The Bank of New York Mellon Corporation).

Consulting

We take a consultant's approach to working with our advisors and their offices, covering all aspects of their practices.

Boutique

The advisors at Summit are part of an exclusive group who receive ongoing customized service for their individual practices.

Summit in the News

View the latest news and articles about Summit, and browse previous newsworthy events.

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Blog

Our blog offers timely updates and direction on a wide range of pertinent topics, including practice management, marketing and technology, to give financial advisors insight on the latest ideas and trends.

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Inside the Minds of Wealthy Women

What advisors need to know to attract and retain wealthy women.

How to Develop Loyal Affluent Clients

What are the key factors that make an affluent client want to commit to a financial advisor?

What Do Millennials Expect From Financial Advisors?

Do you have the correct processes and systems in place to attract, retain and serve millennials?

12 Questions to Ask Before Buying a Practice

What are the most important things to consider when buying a financial advisory practice.

10 Questions to Ask Before Selling You Practice

What are the most important things to consider when selling a financial advisory practice.

Avoid the pain when changing broker-dealers | Summit

To ensure a smooth transition as you switch broker dealers learn what you should know to help you determine the pros and cons of a future business partner

What should you expect from your broker-dealer? | Summit

Review this checklist of items and expectations designed to help you choose the right broker-dealer for your business and your clients

Putting LinkedIn to Work for financial advisors | Summit

Use these techniques to spread your reach finding new clients, while strengthening relationships with your current clients and centers of influence through LinkedIn

Learn if a Hybrid RIA is right for your business| Summit

Many advisors are using the RIA hybrid model, explore both the benefits and drawbacks of the hybrid RIA model with your own Independent RIA

A Financial Advisor’s Guide to Social Media| Summit

Financial advisor need to embrace the use of social media. Explore the best practices for using social media and the best content to use as part of your strategy

"Summit offers the personal touch of an exclusive boutique broker-dealer coupled with the resources and services of the largest firms in the industry."

Gerry Taylor Michigan

* Summit was the Highest Rated Independent Broker-Dealer among firms with under 1,000 advisors on WealthManagement.com's 2016 IBD Report Card.

Check the background of this firm on FINRA's BrokerCheck.