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9 South Long Beach Road, Rockville Centre, NY 11570 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-24 |
Branch Locations
10 East 39Th St 12Fl Ste 1219, New York, NY 10016 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Private Bank | New York | NY | 10/2007 | 07/2019 |
| Lpl Financial Llc | New York | NY | 07/2019 | Present |
| The Pinnacle Financial Group | Darien | CT | 08/2019 | Present |
1)9/4/19- North Star Wealth Investors, LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- Darien, CT - 100% 2)9/4/19- 237 Apartment Corp. - Housing Co-op- Business Entity for Tax/Investment Purposes- Property Owner- Inv-Related- New York, NY- start date 1992- 2hrs/mth- 1% 3. 09/11/2019 - The Pinnacle Financial Group - DBA:(Hybrid) North Star Wealth Investors, LLC - Investment related - At reported business location(s) - Registered Investment Advisor DBA - start date:8/2019 - 160 hrs/mo - 8 hrs during trading - I provide administrative support to The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity in 09/2019. 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. 09/11/2019 - The Pinnacle Financial Group - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - start date:8/2019 - 160 hrs/mo - 8 hrs during trading - I provide administrative support to The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity in 09/2019. 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. 5. 4/28/2020 - AMH Asset Management LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 03/30/2020 - 160 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 1993-03-01 |
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