Walter G. Patulski
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Walter George Patulski, who also goes by Walter George Patulki, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1982. Walter had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 8, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2015 - November 20, 2015
PINNACLE INVESTMENTS, LLC
June 1, 2011 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
September 1, 2006 - January 24, 2011
CAPITAL BROKERAGE CORPORATION
February 17, 2005 - September 7, 2005
OSAIC WEALTH, INC.
March 9, 2002 - February 18, 2005
RBC CAPITAL MARKETS, LLC
March 27, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
May 14, 1999 - April 10, 2001
KEYBANC CAPITAL MARKETS INC.
January 4, 1993 - May 14, 1999
KEY INVESTMENTS INC.
January 14, 1992 - December 31, 1992
INDEPENDENT FINANCIAL SECURITIES, INC.
August 5, 1982 - January 23, 1992
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
PINNACLE INVESTMENTS, LLC
CRD#: 142910 / SEC#: 801-67860, 8-67515
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 2/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PINNACLE INVESTMENTS, LLC
CRD#: 142910 / SEC#: 801-67860, 8-67515
Contact information
SEC notice filing (41 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,860 |
| AUM (Assets Under Management) | $ 1,056,507,711 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 12/23/2024 | ||
| 03/27/2024 | ||
| 03/31/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
