AdFi
EW

Ethan Wayne Fales

Investment Adviser Representative at SUMMIT FINANCIAL, LLC

NAPLES, FLCRD #7013016Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
6 yrs
States Registered
1 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Florida
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/18/2021
Series 7TO
General Securities Representative Examination
Passed 12/1/2020
SIE
Securities Industry Essentials Examination
Passed 8/17/2020

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $100,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

SUMMIT Financial, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

PRIVATE CLIENT SERVICES, LLCCurrent
4/26/2024 – Naples, FL
UBS FINANCIAL SERVICES INC.
12/1/2020 – 5/7/2024BONITA SPRINGS, FL

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Ethan Wayne Fales has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.