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9 South Long Beach Road, Rockville Centre, NY 11570 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co | Hauppauge | NY | 05/2010 | 09/2017 |
| Lpl Financial, Llc | Rockville Centre | NY | 09/2017 | Present |
| The Pinnacle Financial Group | Rockville Centre | NY | 09/2017 | Present |
1. 9/21/2017 - THE PINNACLE FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 09/15/2017 - 130 Hours Per Month/6.5 Hours During Securities Trading - Time Spent 100%. 2. 10/3/2017 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/15/2017 - 130 Hours Per Month/6.5 Hours Securities Trading - Time Spent 100% - I provide investment advisory services through The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity on 10/3/2017. I expect to spend approximately 100 hours/month on this activity. Please see the advisory firms 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. 4/12/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Financial Advisor - Start Date - 03/13/2023 - 5 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-21 |
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