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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 2021-08-18
  • NY RA
    APPROVED
    Since 2021-08-18

Branch Locations

163 Dix Hills Rd, 163 Dix Hills Rd, NY 11746 • 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
Lpl Financial Llc Dix Hills NY 08/2002 Present
The Pinnacle Financial Group Dix Hills NY 12/2018 Present
Other Businesses

1. 8/19/2002: FIA FINANCIAL CONSULTANTS, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/27/2016: The Merz Agency - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start 01/01/2017 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 4/1/2021 - The Pinnacle Financial Group - DBA: (Hybrid) FIA Financial Consultants, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 12/10/2018 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity in 4/2021. I expect to spend approximately 160 hours per 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. 4. 4/1/2021 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 12/10/2018 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity in 4/2021. I expect to spend approximately 160 hours per 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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-03-05
  • S63 Uniform Securities Agent State Law Examination
    1996-03-05
Designations

View on SEC IAPD

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