Joseph O'connor

PINNACLE INVESTMENTS

Syracuse, NY

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CRD#: 1094370

Professional summary

Joseph O'connor, who also goes by Joe O'connor, Joseph Robert Oconnor, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Syracuse, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Joseph has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe O'connor | Joseph Robert Oconnor

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.

Sky top Liquors, Is Not Investment Related,"608 Notingham Rd, , Syracuse, NY, 13224, United States", Liquor & Wine Store, Part Time Counter,12/18/2023,20 hours per month,0 hours per month during trading hours, Salary Compensation, "Cashier, stock shelves"

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph O'connor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph O'connor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

February 22, 2021 - Present

PINNACLE INVESTMENTS, LLC

RIA

CRD#: 142910

Syracuse, NY

Current

December 7, 2020 - Present

PINNACLE INVESTMENTS, LLC

Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057

RIA

CRD#: 142910

East Syracuse, NY

Past

April 18, 2017 - December 7, 2020

EDWARD JONES

RIA

CRD#: 250

Bethesda, MD

Past

April 17, 2017 - December 7, 2020

EDWARD JONES

CRD#: 250

Bethesda, MD

Past

September 16, 2016 - April 20, 2017

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

WASHINGTON, DC

Past

August 31, 2015 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

WASHINGTON, DC

Past

August 25, 2015 - April 20, 2017

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

WASHINGTON, DC

Past

December 19, 2013 - August 11, 2015

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

WASHINGTON, DC

Past

November 26, 2013 - August 11, 2015

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

WASHINGTON, DC

Past

July 31, 2009 - November 29, 2013

LEIGH BALDWIN & CO., LLC

CRD#: 38751

SYRACUSE, NY

Past

June 20, 2005 - August 19, 2009

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

DEWITT, NY

Past

November 5, 2004 - August 19, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

DEWITT, NY

Past

January 2, 1997 - December 3, 2004

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

April 12, 1990 - January 3, 1997

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

October 23, 1987 - May 10, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 28, 1983 - October 23, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

May 11, 1983 - September 8, 1983

FLAGSHIP SECURITIES, INC.

CRD#: 7123

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

District of Columbia
(12/7/2020)

IAR

District of Columbia
(4/10/2025)

Florida
(12/7/2020)

IAR

Florida
(1/16/2025)

Maryland
(12/7/2020)

Massachusetts
(3/16/2021)

IAR

Nevada
(3/4/2024)

Nevada
(3/6/2024)

New Jersey
(12/7/2020)

IAR

New Jersey
(1/16/2025)

New York
(12/7/2020)

IAR

New York
(2/23/2021)

Texas
(12/7/2020)

IAR

Texas
(2/22/2021)

Virginia
(12/9/2020)

IAR

Virginia
(2/24/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/27/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 5/10/1983

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/12/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

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.

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Advisor Monitoring

Firm Stability Insights

Joseph O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph O'connor's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE INVESTMENTS, LLC

EDWARD JONES

EDWARD JONES

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

LEIGH BALDWIN & CO., LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

ADVEST, INC.

GLEACHER & COMPANY SECURITIES, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

FLAGSHIP SECURITIES, INC.

Primary Firm SEC Registration

PINNACLE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2014

Series 63

Date: 12/14/1983

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

Series 52

Date: 5/10/1983

Series 8

Date: 2/12/1998

FINRA

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

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