Full text of PINNACLE INVESTMENTS, LLC (SUCCESSOR)'s X-17A-5 filed 2020-03-02 (period 2019-12-31). 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, 2019 {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 Financial Statements | 5 | | | | | | | {2}------------------------------------------------ | | UNITED STATES | | 0MB APPROVAL | | | |---------------------------------------------------------------------------|--------------------------------------------------------------------------|----------------------|------------------------------|--|--| | | SECURITIES AND EXCHANGE COMMISSION | | 0MB Number: 3235-0123 | | | | | Washington, D.C. 20549 | | i1::v:--•r00 August 31, 2020 | | | | ANNUAL AUDITED REPORT | Estimated average burden<br>hours per response 12.00 | | | | | | | FORM X-17A-5 | | | | | | | | | | | | | | PARTIII | | SEC FILE NUMBER | | | | PUBLIC | | | 8- 67515 | | | | Information Required of Brokers and Dealers Pursuant to Section 17 of the | FACING PAGE<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | | REPORT FOR THE PERIOD BEGINNING 01/01/19 AND ENDING | MM/DD/YY | 12/31/19<br>MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: | PINNACLE INVESTMENTS, LLC | | Official Use Only | | | | | | | | | | | | | | FIRM I.D. NO. | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 507 PLUM STREET, SUITE 120 | | | | | | | | (No. and Street) | | | | | | SYRACUSE | NEW YORK | 13204 | | | | | (City) | (State) | (Zip Code) | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT | | | | | | | BENJAMIN R. QUILTY, CEO | | | (315) 251-1101 | | | | | (Area Code - Telephone Number) | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report* | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | DANNIBLE & MCKEE, LLP | | | | | | | 221 S. WARREN ST. | SYRACUSE | NY | 13202 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | | | | | | | | ~ Certified Public Accountant<br>D Public Accountant | | | | | | | | | | | | | | | | | | | | | □ Accountant not resident in United States or a…Read the full text as markdown