Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
199019952000200520102015202020252 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)IAPINNACLE INVESTMENT ADVISORS LLC (CRD# 145952)2008 - 2011 (3 years)
Disclosure(s)
View By:
8/17/2024
Criminal
Final Disposition
5/3/1989
Criminal
Final Disposition
License(s)

State Registrations

B
California 5/16/2012
B
Wisconsin 5/16/2012
B
Florida 9/17/2015
IA
Wisconsin 2/4/2014
B
Illinois 5/16/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1005 QUINN DRIVE STE 151, WAUNAKEE, WI 53597
Registered with this firm since 5/16/2012
B
LPL FINANCIAL LLC (CRD#:6413)
1005 QUINN DRIVE STE 151, WAUNAKEE, WI 53597
Registered with this firm since 5/16/2012
Previous Registration(s)
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IA
 09/15/2011 - 04/27/2012 WADDELL & REED, INC. (CRD#:866) SAN DIEGO, CA
B
 09/14/2011 - 04/27/2012 WADDELL & REED, INC. (CRD#:866) SAN DIEGO, CA
IA
 04/16/2008 - 07/09/2011 PINNACLE INVESTMENT ADVISORS LLC (CRD#:145952) SAN MATEO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.