PINNACLE INVESTMENTS, LLC of EAST SYRACUSE, NY is an SEC-registered investment adviser (CRD 142910). Regulatory assets under management: $1.3B.
Compensation: % of AUM, Hourly, Other.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Kenneth Ronald George | FINOP | — |
| Eric Douglas Krouse | COO / OPTIONS PRINCIPAL | — |
| Gregg Anthony Kidd | SHAREHOLDER | — |
| Daniel Francis Raite | SHAREHOLDER | — |
| Benjamin Ryan Quilty | CHIEF EXECUTIVE OFFICER | — |
| Monica Ann Coles | CHIEF COMPLIANCE OFFICER | — |
| GEORGE KENNETH RONALD | CFO/FINOP; FINOP | — |
| KIDD GREGG ANTHONY | CURRENT; MANAGING MEMBER; MANAGING PARTNER (+2 more) | — |
| RAITE DANIEL FRANCIS | CURRENT; MANAGING MEMBER; MANAGING PARTNER (+2 more) | — |
| KROUSE ERIC DOUGLAS | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER/SR REG OPTIONS PRINCIPAL; CHIEF COMPLIANCE OFFICER/OPTIONS PRINCIPAL SERIES 4 (+3 more) | — |
| KAMP DAVID WAYNE | CHIEF COMPLIANCE OFFICER/OPTIONS PRINCIPAL | — |
| GAGLIARDI MICHAEL RICHARD | BRANCH MANAGER | — |
| ZANDERS KEITH ALAN | CHIEF COMPLIANCE OFFICER | — |
| QUILTY BENJAMIN RYAN | CHIEF EXECUTIVE OFFICER | — |
| GRIFFITH SUSAN J | DIRECTOR OF COMPLIANCE; PRESIDENT/DIRECTOR OF COMPLIANCE | — |
| YORK RYAN W | CHIEF EXECUTIVE OFFICER | — |
| HANSEN MARK RICHARD | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/PRESIDENT | — |
| COLES MONICA ANN | CHIEF COMPLIANCE OFFICER | — |
| Bryan K Jacobsen | CHIEF COMPLIANCE OFFICER | — |
| John Michael Ivan | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-03-06 | regulatory | ON MAY 1, 2025, THE FIRM WAS PREVIOUSLY CENSURED AND FINED BY FINRA, FILE NO. 2022073421202. THE FIRM INITIATED A RENEWAL OF THE FIRM'S CALIFORNIA INSURANCE LICENSE ON JUNE 3, 2025. THE ANALYST COMPLETING AND SUBMITTING THE APPLICATION WAS UNAWARE THAT THE FIRM HAD BEEN CENSURED AND FINED BY FINRA O… | Final | $5K |
| 2022-07-01 | regulatory | WITHOUT ADMITTING OR DENYING; FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A REASONABLY DESIGNED SUPERVISORY SYSTEM RELATED TO NT-ETPS, FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A REASONABLY DESIGNED SYSTEM TO ACHIEVE COMPLIANCE WITH FINRA RULE 3260(B), FAILED TO CONDUCT TIMELY INSPECTIONS OF SIX BRANC… | Final | $65K |
| 2018-12-31 | regulatory | WHETHER THERE WAS ADEQUATE DISCLOSURE ABOUT PINNACLE'S SUPERVISORY REVIEW OF ADVISORY ACCOUNTS THAT DID NOT HAVE ACTIVE TRADING BETWEEN 2015 AND 2018. BETWEEN 2017 AND 2020, PINNACLE DID NOT DISCLOSE A CONFLICT OF INTEREST INVOLVING AN INDIVIDUAL FINANCIAL ADVISOR WHO WORKED FOR BOTH PINNACLE INVEST… | Final | $393K |
| 2013-05-02 | civil | NEGLIGENCE, UNSUITABLE INVESTMENTS AND STRATEGY, BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND GROSS NEGLIGENCE, NEGLIGENT MISREPRESENTATION, NEGLIGENT SUPERVISION/HIRING | Final | $125K |
| — | regulatory | — | — | — |
| — | civil | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| AUBURN | NY | 7 | 3155156400 |
| MORRISTOWN | NJ | 3 | 9735388200 |
| ALBANY | NY | 1 | 5185141800 |
| WILLIAMSVILLE | NY | 1 | 7166332900 |
| PHILADELPHIA | PA | 1 | 3152511101 |
| BOCA RATON | FL | 1 | 315-251-1101 |
| — | — | 1 | 315-251-1101 |
| MALDEN | MA | 1 | 315-251-1101 |
| MIAMI | FL | 1 | 315-251-1101 |
| ESTERO | FL | 1 | 315-251-1101 |
| — | — | 1 | 800 982 0421 |
| EAST SYRACUSE | NY | 1 | 315-299-8434 |
| SYRACUSE | NY | 1 | 3152957334 |