Mark J. Schlafly

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CRD#: 1091509

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.

Mark Joseph Schlafly, CFP® was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INDEPENDENT TRUSTEE AT VERTICAL CAPITAL CLOSED END FUND I SPEND TWO HOURS A MONTH ON THE PHONE FOR WASHINGTON UNIVERSITY, EITHER WITH STUDENTS OR STAFF OUTSIDE OF TRADING HOURS. MY ROLE AT WASHINGTON UNIVERSITY IS NOT INVESTMENT RELATED. MY BOARD DUTIES WITH VERTICAL CAPITAL TAKE UP ON AVERAGE ABOUT 3 HOURS A MONTH. VERTICAL CAPITAL IS A CLOSED END FUND. I HAVE NO INVESTMENT INPUT OR AUTHORITY AT VERTICAL. I HAVE BEEN WITH BOTH GROUPS SINCE AUGUST OF 2011. WASHINGTON UNIVERSITY IS LOCATED IN ST. LOUIS AND VERTICAL CAPITAL IS LOCATED IN NEWPORT BEACH CA. 8/2011-PRESENT: BEHRINGER HARVARD, DALLAS, TX, REAL ESTATE FIRM, INDEPENDENT TRUSTEE, INVESTMENT RELATED, 2 HOURS/MONTH, 2 HOURS/MONTH DURING SECURITIES TRADING HOURS. 10/2014-PRESENT: MAGNI GLOBAL, MINNEAPOLIS, MN, ESG RESEARCH MODELS, BOARD MEMBER, INVESTMENT RELATED, 2 HOURS/MONTH, 0 HOURS/MONTH DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

November 12, 2020 - January 5, 2022

PINNACLE INVESTMENTS, LLC

CRD#: 142910

EAST SYRACUSE, NY

Past

September 25, 2020 - January 5, 2022

PINNACLE INVESTMENTS, LLC

RIA

CRD#: 142910

ST. LOUIS, MO

Past

October 23, 2017 - September 17, 2025

VISIONARY WEALTH ADVISORS, LLC

RIA

CRD#: 169610

ST. LOUIS, MO

Past

June 6, 2016 - August 8, 2017

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

June 12, 2013 - January 22, 2015

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

SEATTLE, WA

Past

February 26, 2013 - June 21, 2013

VERTICAL CAPITAL SECURITIES, LLC

CRD#: 154697

IRVINE, CA

Past

July 22, 2008 - March 31, 2009

ADVANTAGE CAPITAL CORPORATION

RIA

CRD#: 146

ATLANTA, GA

Past

July 22, 2008 - April 4, 2011

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

ATLANTA, GA

Past

July 9, 2008 - March 31, 2009

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

July 9, 2008 - April 4, 2011

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

December 8, 2006 - July 3, 2008

LPL FINANCIAL LLC

CRD#: 6413

BOSTON, MA

Past

July 5, 1985 - December 11, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 23, 1983 - October 1, 1984

EQUITEC SECURITIES COMPANY

CRD#: 6463

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PINNACLE INVESTMENTS, LLC

PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)

CRD#: 142910 / SEC#: 801-67860, 8-67515

RIA

Registered Investment Advisory firm - SEC (5/18/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (9/12/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/2/2019 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/12/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/8/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/26/2008

General Securities Principal Examination

Current Firm

PINNACLE INVESTMENTS, LLC

PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)

CRD#: 142910 / SEC#: 801-67860, 8-67515

RIA

Registered Investment Advisory firm - SEC (5/18/2007 Approved)

Arizona

Registered Investment Advisory firm - SEC (9/12/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/2/2019 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057

Mailing Address

5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057

Phone number

(315) 251-1101

Established

New York since 08/04/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (41 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2024.09.30 PI-IA WRAP BROCHURE (5/30/2025)

2024.09.30 PI-IA FIRM BROCHURE (5/30/2025)

Direct owners and executive officers

Name	Position	CRD#
PINNACLE HOLDING CO, LLC	MANAGING MEMBER
GEORGE, KENNETH RONALD	FINOP	2643369
JACOBSEN, BRYAN K	CHIEF COMPLIANCE OFFICER	3055957
KROUSE, ERIC DOUGLAS	COO / OPTIONS PRINCIPAL	4338577
QUILTY, BENJAMIN RYAN	CHIEF EXECUTIVE OFFICER	5391743

Regulatory assets under management

Total Number of Accounts	2,860
AUM (Assets Under Management)	$ 1,056,507,711

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
12/23/2024	Cover Page	Report
03/27/2024	Cover Page	Report
03/31/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mark J. Schlafly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PINNACLE INVESTMENTS, LLC

VISIONARY WEALTH ADVISORS, LLC

WADDELL & REED

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

VERTICAL CAPITAL SECURITIES, LLC

ADVANTAGE CAPITAL CORPORATION

FSC SECURITIES CORPORATION

ADVANTAGE CAPITAL CORPORATION

FSC SECURITIES CORPORATION

LPL FINANCIAL LLC

A. G. EDWARDS & SONS, INC.

EQUITEC SECURITIES COMPANY

Primary Firm SEC Registration

PINNACLE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/22/1983

Series 7TO

Date: 2/12/2024

SIE

Date: 8/8/2017

Series 7

Date: 2/19/1983

Series 24

Date: 9/26/2008

Current Firm

PINNACLE INVESTMENTS, LLC

Contact information

SEC notice filing (41 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PINNACLE INVESTMENTS, LLC

TRUST BUT VERIFY

Contact information

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