Legal & disclosures
Regulatory Disclosures
Important information regarding our regulatory relationships, execution infrastructure, and compliance framework.
Broker-Dealer Relationship
Securities transactions are executed through Finalis Securities LLC, a registered broker-dealer and Member FINRA / SIPC. This relationship provides Summe Capital with institutional-grade compliance, execution infrastructure, and national reach.
Summe Capital and Finalis Securities LLC are separate, unaffiliated entities.
Affiliated Execution
For select engagements, execution may be completed through affiliated M&A advisory partners with whom we have strategic and economic alignment, ensuring institutional-grade processes and competitive market execution when broader reach or specialized capacity is required.
Confidentiality
All client engagements, business information, and transaction details are treated with the highest level of confidentiality and discretion. Information is shared only with authorized parties on a need-to-know basis and in accordance with applicable confidentiality agreements.
Regulatory Information
Securities offered through Finalis Securities LLC, Member FINRA / SIPC. Check the background of this firm and its registered representatives on FINRA BrokerCheck.
This website is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any securities. Any such offer or solicitation will be made only by means of appropriate offering documents and only in jurisdictions where permitted by applicable law.
Vesticor Advisors and Finalis Securities LLC are separate, unaffiliated entities. Securities offered through Finalis Securities LLC, Member FINRA/SIPC. Brian C. Summe is a Registered Representative of Finalis Securities LLC.
Electronic Communications & Privacy
IMPORTANT NOTICE: Electronic Communications Privacy Act 18 U.S.C. 2510-2521. This is a private, proprietary and confidential communication and is for information purposes only. Nothing in this message should be interpreted as a digital or electronic signature that can be used to authenticate a contract or other legal document. This electronic communication and any files included in the communication may contain confidential information that is for the intended recipient only. If you are the recipient, you are hereby notified that any disclosure, copying, distribution or use of any of the information contained in, or attached to, this transmission is STRICTLY PROHIBITED. If you have received this in error, please immediately notify us by return e-mail, fax and/or telephone and destroy this communication.
Disclaimer
Sender is a Registered Representative of Finalis Securities, LLC United States Securities Dealer and makes no warranties or representations as to the Buyer, Seller or Transaction. All due diligence is the responsibility of the Buyer and Seller or client. Upon receipt of these documents, the Recipient hereby acknowledges this Disclaimer. If acknowledgment is not accepted, Recipient must return any and all documents in their original receipted condition to Sender.