Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
2010201220142016201820202022202420263 FIRMS2019 - 2019 (<1 year)IAPIVOTPOINT ADVISORS, LLC (CRD# 310287)2024 - Present (<1 year)IAPIVOTPOINT ADVISORS, LLC (CRD# 310287)2020 - 2023 (3 years)
Disclosure(s)
View By:
12/26/2018
Judgment / Lien
1/20/2011
Judgment / Lien
10/1/2009
Judgment / Lien
License(s)

State Registrations

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Nevada 4/22/2024
Current Registration(s)
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PIVOTPOINT ADVISORS, LLC (CRD#:310287)
LAS VEGAS, NV
Registered with this firm since 4/22/2024
Previous Registration(s)
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 10/14/2020 - 12/31/2023 PIVOTPOINT ADVISORS, LLC (CRD#:310287) LAS VEGAS, NV
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 01/22/2019 - 08/06/2019 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) LAS VEGAS, NV
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 02/12/2019 - 08/06/2019 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) LAS VEGAS, NV
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 01/07/2019 - 01/07/2019 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) LAS VEGAS, NV
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.