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Current Employers
The Pinnacle Financial Group

9 South Long Beach Road, Rockville Centre, NY 11570 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-09-07
  • NY RA
    APPROVED
    Since 2021-09-07

Branch Locations

9 South Long Beach Road, Rockville Centre, NY 11570 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Babylon NY 12/2009 11/2016
Wells Fargo Clearing Services, Llc Babylon NY 11/2016 02/2017
Lpl Financial Llc Rockville Centre NY 02/2017 Present
The Pinnacle Financial Group Rockville Centre NY 02/2017 Present
Previous Registrations
  • 2009-12-14 → 2017-02-21
    Babylon, NY
  • 2007-05-29 → 2009-12-19
    Deer Park, NY
    Plainview, NY
    Plainview, NY
    North Babylon, NY
    East Northport, NY
  • 2006-02-13 → 2007-05-29
    Citicorp Investment Services
    East Northport, NY
  • 2005-07-26 → 2006-01-25
    Asset & Financial Planning, Ltd
    Lake Success, NY
  • 2004-12-06 → 2005-07-21
    Citicorp Investment Services
    East Northport, NY
Other Businesses

1) 2/17/17 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/16/2017 - 30 Hours Per Month/6 Hours During Securities Trading - Time Spent 100%. 2) 4/25/2017 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 02/16/2017 - 160 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity on 4/25/17. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 8/17/2017 - Zer Hour Music, Inc. - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 04/22/2003 - 4 Hours Per Month/1 Hour During Securities Trading. 4) 11/07/2017 - Musto Wealth Management, LLC - Not Investment Related - At reported business location(s) - Business Entity For Tax/Investment Purposes Only - Start date 10/02/2017 - 1 hour per month/0 hours during security trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-05-10
  • S66 Uniform Combined State Law Examination
    2002-05-10

View on SEC IAPD

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