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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-05-31 |
Branch Locations
3515 Glenwood Avenue Suite 100, Raleigh, NC 27612 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Cary | NC | 04/2013 | 09/2021 |
| Wells Fargo Clearing Services, Llc | Cary | NC | 04/2013 | 09/2021 |
| Raymond James Financial Services, Inc. | Raleigh | NC | 05/2022 | Present |
| Pinnacle Financial Partners/Pinnacle Bank | Raleigh | NC | 09/2021 | Present |
| Raymond James Financial Services Advisors, Inc. | Raleigh | NC | 05/2022 | Present |
(1)Name of Business: PINNACLE ASSET MANAGEMENT Address: 3515 Glenwood Ave Ste 100, Raleigh, NC, 27612-4934, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 06/06/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: BANKER THAT PROVIDES BANKING AND LOAN SERVICES TO CLIENTS. MAKES INVESTMENT REFERRALS TO PARTNERS AT THE FIRM.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-08-04 |
| S63 | Uniform Securities Agent State Law Examination | 2011-12-28 |
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