Full text of PINNACLE INVESTMENTS, LLC (SUCCESSOR)'s X-17A-5 filed 2023-03-01 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ SYRACUSE, NEW YORK STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2022 {1}------------------------------------------------ # TABLE OF CONTENTS #### Page No. | ANNUAL AUDITED REPORT FORM X-17A-5 PART III (Facing Page) | 1 | |-----------------------------------------------------------|---| | OATH OR AFFIRMATION | 2 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 3 | | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 4 | | Notes to Statement of Financial Condition | 5 | {2}------------------------------------------------ OMB Number : 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8- 67515 REPORT FOR THE PERIOD BEGINNING 01/01/22 AND ENDING 12/31/22 MM/DD/YY MM/DD/YY NAME OF FIRM: PINNACLE INVESTMENTS, LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer Security-based swap dealer Major security-based swap participant Check here if respondent is also OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 5845 WIDEWATERS PKWY SUITE 300 (No. and Street) E. SYRACUSE NEW YORK 13057 (City) (State) (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT BENJAMIN R. QUILTY, CEO (315) 251-1101 Bquilty@Pinnacle-LLC.com (Name) (Area Code - Telephone Number) (Email Address) INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* RW GROUP, LLC 400 OLD FORGE LANE STE 401 KENNETT SQUARE PA <sup>19348</sup> (Address) (City) (State) (Zip Code) 23-Feb-10 5020 (Date of Registration with PCAOB, if applicable) (PCAOB Registration Number, if applicable) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 A. REGISTRANT IDENTIFICATION B. ACCOUNTANT IDENTIFICATION FACING PAGE ANNUAL REPORTS FORM X-17A-5 PART III FOR OFFICIAL USE ONLY PUBLIC Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 (Name - if individual, state last, first, and middle name) □ □ UNITED STATES OMB APPROVAL \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid…Read the full text as markdown