HR
Harold J. Rivenburgh
THE PINNACLE FINANCIAL GROUP
EAST NORTHPORT, NY 11731
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CRD#: 1157866
HR
Professional summary
Harold James Rivenburgh, who also goes by Harry Rivenburgh, is a registered financial advisor currently at THE PINNACLE FINANCIAL GROUP located in East Northport, New York and LPL FINANCIAL LLC located in Rockville Centre, New York.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Harold has worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Harry Rivenburgh
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.
1. 07/05/2017 - THE PINNACLE FINANCIAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ ROCKVILLE CENTRE, NY
2. 01/11/2018 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 9/12/2017 - 130 Hours Per Month/7 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity on 8//2017. I expect to spend approximately 130 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Harold James Rivenburgh's 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®
NoneExperience
Current
August 30, 2021 - Present
THE PINNACLE FINANCIAL GROUP
Office #1: 96 Stoothoff Rd, East Northport, NY 11731RIA
CRD#: 164395
EAST NORTHPORT, NY
Current
July 5, 2017 - Present
LPL FINANCIAL LLC
Office #1: 9 S. Long Beach Rd., Rockville Centre, NY 11570RIA
BD
CRD#: 6413
Rockville Centre, NY
Past
February 28, 2007 - July 6, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
PLAINVIEW, NY
Past
August 21, 2003 - March 7, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SMITHTOWN, NY
Past
October 23, 2002 - August 29, 2003
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
June 30, 1992 - October 31, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
July 21, 1989 - June 19, 1992
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
July 20, 1983 - August 1, 1989
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
Registered Investment Advisory firm - (11/9/2012 Approved)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.RR
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
RR
Florida(7/5/2017)
RR
Maryland(9/20/2023)
RR
New York(7/5/2017)
IAR
New York(8/30/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
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Contact information
Main Address
9 South Long Beach Road, Rockville Centre, NY 11570
Mailing Address
Phone number
(516) 763-9700
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,538 |
| AUM (Assets Under Management) | $ 1,184,198,113 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THE PINNACLE FINANCIAL GROUP
CRD#: 164395East Northport, NY 11731TRUST BUT VERIFY
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