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Richard Lee Thawley

SUMMIT GLOBAL INVESTMENTS, LLC·BOUNTIFUL, Utah
SIE, Series 6, Series 26, Series 63Clean recordSUMMIT GLOBAL INVESTMENTS, LLC
620 SOUTH MAIN STREET, BOUNTIFUL, UT 84010CRD# 1131657Firm CRD# 157091

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Richard Lee Thawley · BOUNTIFUL, UT
Registration
CRD #1131657 · SUMMIT GLOBAL INVESTMENTS, LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 26
Series 63
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
SUMMIT GLOBAL INVESTMENTS, LLC
CRD 157091 · SEC 801-76631
AUM
$2.0B
Regulatory assets under management
Employees
32
6,110 client accounts
Services offered by SUMMIT GLOBAL INVESTMENTS, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Portfolio management (pooled investments)
Pension consulting
Selection of other advisers
Other
Client types served by the firm
Per Form ADV
Individuals
Institutional Investors
Pension & Retirement Plans
High Net Worth Individuals
View all advisors at SUMMIT GLOBAL INVESTMENTS, LLC →
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Frequently Asked Questions

What services does Richard Lee Thawley offer?
Richard Lee Thawley specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in BOUNTIFUL, Utah for a consultation.
What are Richard Lee Thawley's credentials?
Richard Lee Thawley is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Richard Lee Thawley located?
Richard Lee Thawley is based in BOUNTIFUL, Utah, working with SUMMIT GLOBAL INVESTMENTS, LLC. Their office serves clients in the BOUNTIFUL metropolitan area and surrounding communities.
How does Richard Lee Thawley charge for services?
Richard Lee Thawley's firm is compensated through percentage of aum, hourly charges, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SUMMIT GLOBAL INVESTMENTS, LLC?
SUMMIT GLOBAL INVESTMENTS, LLC has approximately 32 employees and manages $2.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at SUMMIT GLOBAL INVESTMENTS, LLC

Mark Lynn Kenison
BOUNTIFUL, UT
Bryce Jay Sutton
BOUNTIFUL, UT
David Lee Harden
BOUNTIFUL, UT

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