AdFi
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Michael Raspallo

Investment Adviser Representative at SUMMIT FINANCIAL, LLC

West Warwick, RICRD #1281062Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
42 yrs
States Registered
1 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Rhode Island
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/30/1995
Series 63
Uniform Securities Agent State Law Examination
Passed 7/11/1984
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 11/12/2002
Series 22
Direct Participation Programs Representative Examination
Passed 2/13/1987
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 7/3/1984

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.

SUMMIT FINANCIAL, LLCCurrent
7/7/2025West Warwick, RI
THE PATRIOT FINANCIAL GROUP, LLC
10/3/20147/3/2025Warwick, RI
SUMMIT FINANCIAL, LLC
7/1/20257/2/2025Parsippany, NJ
LPL FINANCIAL LLC
3/6/20177/5/2018Warwick, RI
LPL FINANCIAL LLC
5/30/20128/19/2015Warwick, RI
MULTI-FINANCIAL SECURITIES CORPORATION
11/2/20096/1/2012Cranston, RI
MML INVESTORS SERVICES, INC.
9/26/200711/5/2009Greenville, RI
USI SECURITIES, INC.
9/15/20068/3/2007Warwick, RI
HORNOR, TOWNSEND & KENT, INC.
3/2/20049/11/2006Providence, RI
SECURIAN FINANCIAL SERVICES, INC.
2/22/20022/26/2004Providence, RI

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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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. Michael Raspallo 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.

Michael Raspallo - Financial Advisor in West Warwick, RI | AdvisorFinder