Summit Brokerage Services

Independent Broker-Dealer

Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks, insurance companies or investment companies. Summit Brokerage is a true independent firm with one goal in mind: satisfy the needs of its financial advisors so they can satisfy the needs of their clients.

The Company accomplishes this by treating its financial advisors as its customers, and providing 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.

Since its founding, the Company's goal has been to create an independent broker-dealer that caters to the industry's finest financial advisors by adhering to the following core principles:

  • Building a boutique firm whose culture places service and flexibility above all else

  • Hiring high-quality, compliant advisors who put their clients' interests before their own

  • Creating a scalable business model

  • Balancing our mix of business

  • Partnering with the best third-party vendors

  • Providing an unmatched level of service

  • Making partners of our employees and advisors

With a network of more than 330 consultants operating from more than 225 offices throughout the United States, Summit's advisor retention rate is among the highest in the industry. The Company's goal, however, is not to create a large firm with thousands of financial advisors. Rather, the Company is focused on maintaining a boutique firm of high-quality, high-producing financial advisors. The Firm does this by providing the support, services, products and leading-edge technology needed to build a successful business.

With more than 250 years of combined experience, Summit's senior management team is focused on understanding advisors' needs and working to meet those needs on a daily basis. Headed by Marshall Leeds, the Firm's senior management team has experience in servicing the needs of both independent and wire house advisors.

Since Marshall Leeds acquired Summit in 2002, management has created a culture that places emphasis on providing the support, services, products and leading-edge technology necessary to build a successful business. This goal is achieved through the Company's commitment to meeting the highest standards in providing quality, personalized services to advisors and their clients. As a Summit advisor, you enjoy the freedom and control of being independent while at the same time benefiting from the best support structure and assistance in the business, including quick and accurate answers to your inquiries; access to senior management and specialists for specific product information; financial advisors to develop highly compliant solutions to particular needs; help with succession planning; ongoing training for support staff; daily sales and marketing ideas; state-of-the-art platforms from clearing firms First Clearing and Pershing; third-party research providers; and a comprehensive platform to grow and develop. Additionally, Summit offers training programs, including regional workshops, on-site visits, online continuing education and an annual national convention. The Company's training programs feature nationally known business and financial experts who offer insight on where the industry is headed, along with issues that are likely to affect business. And because so much of what successful advisors learn comes from other advisors, many of the firm's training programs offer designated peer-to-peer networking sessions.

To help advisors grow and succeed at business, Summit offers a number of tools designed to allow its financial advisors to gain the maximum result from their efforts. The Firm currently offers a comprehensive range of solutions that have proven extremely effective in allowing our advisors to leverage their time and resources, including wealth reporting tools to help you establish connections and build relationships; website development; marketing materials and promotional support, including pre-approved ads, prospecting letters, ghostwritten articles, radio scripts and seminar support; professional partner development; and state-of-the-art CRM solutions.

As a Summit advisor, you enjoy the freedom and control of being independent while at the same time benefiting from the best support structure in the business. To join the Summit team, call 866.341.9285 to speak with a Business Development Associate.