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.
Securities Disclosure
Securities are offered through Finalis Securities LLC Member FINRA / SIPC. Summe Capital is not a registered broker-dealer, and Finalis Securities LLC and Summe Capital are separate, unaffiliated entities. Finalis Securities LLC, Office of Supervisory Jurisdiction is located at 450 Lexington Ave, New York, NY 10017, 800-962-0418.
summecapital.com (the "Summe Capital Website") is a website operated by Summe Capital. This website is for informational purposes only, is not an offer, solicitation, recommendation, or commitment for any transaction or to buy or sell any security or other financial product, and is not intended as investment advice or as a confirmation of any transaction. Products and services on this website may not be available for residents of certain jurisdictions. Please consult with a Finalis Securities' registered representative regarding the product or service in question for further information. Investments involve risk and are not guaranteed to appreciate. Any market price, indicative value, estimate, view, opinion, data, or other information herein is not warranted as to completeness or accuracy, is subject to change without notice, and Summe Capital along with Finalis Securities LLC accepts no liability for its use or to update it or keep it current.
Investing in private placements involves a high degree of risk. These investments may be illiquid, speculative, and subject to substantial restrictions on transferability. Investors may lose all or part of their investment and should only invest capital they can afford to lose. Prospective investors should conduct their own due diligence and consult with their legal, tax, and financial advisors prior to making any investment decision.