BV
Brian G. Vanhouwe
PINNACLE INVESTMENTS
NORTH SMITHFIELD, RI
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CRD#: 1209566
BV
Professional summary
Brian George Vanhouwe is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in North Smithfield, Rhode Island.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Brian has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Mickey G's Clam Shack, Is Not Investment Related,"5 Avon Ave, , Cumberland, RI, 02864, United States", Catering food,Caterer,1/1/2013,20 hours per month,9 hours per month during trading hours, Hourly Compensation, Catering food _________________ North Smithfield Land Trust,I s Not Investment Related, "PO Box 452, Slatersville, RI, 02876, United States", "Acquire, protect, and oversee land & resources", Vice President,1/1/2000,1 hours per month,0 hours per month during trading hours, No Compensation, Land & resource protection __________________ Automotive Computer Services, Is Not Investment Related,"2667 Courtly Rd, , Dighton, MA, 02715, United States", Count auto parts for inventory,Worker,1/1/2000,10 hours per month,0 hours per month during trading hours, Hourly Compensation, Counting auto parts for inventory __________________ Parts Department Services, Is Not Investment Related,"170 Kingsbury Rd, , Walpole, MA, 03608, United States", Count auto parts for inventory,Worker,1/1/2000,10 hours per month,0 hours per month during trading hours, Hourly Compensation, Counting auto parts for inventory __________________ Insurance Sales, Investment Related,"1295 State St, , Springfield, MA, 01101, United States",Insurance,Agent,1/1/2010,10 hours per month,3 hours per month during trading hours, Commission Compensation, Insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Brian George Vanhouwe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian George Vanhouwe'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
December 26, 2019 - Present
PINNACLE INVESTMENTS, LLC
RIA
BD
CRD#: 142910
NORTH SMITHFIELD, RI
Current
June 29, 2019 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
East Syracuse, NY
Past
February 6, 2014 - December 26, 2019
GLOBAL INVESTMENT ADVISORS, LLC
RIA
CRD#: 121442
NORTH SMITHFIELD, RI
Past
January 1, 2010 - December 31, 2012
GLOBAL INVESTMENT ADVISORS, LLC
RIA
CRD#: 121442
TOPSFIELD, MA
Past
January 1, 2010 - July 10, 2019
ESSEX SECURITIES LLC
BD
CRD#: 46605
NORTH SMITHFIELD, RI
Past
May 16, 2008 - January 1, 2010
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
NORTH SMITHFIELD, RI
Past
May 16, 2008 - January 1, 2010
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
NORTH SMITHFIELD, RI
Past
August 9, 2004 - March 4, 2008
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
WARWICK, RI
Past
May 21, 2002 - March 4, 2008
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
WARWICK, RI
Past
November 14, 1983 - April 29, 2002
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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".
PI
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)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
California(7/19/2024)
RR
Connecticut(12/23/2020)
IAR
Connecticut(1/31/2025)
RR
Florida(1/3/2022)
RR
Massachusetts(6/29/2019)
IAR
Massachusetts(5/4/2022)
RR
New Hampshire(8/11/2023)
RR
North Carolina(1/30/2025)
RR
Rhode Island(6/29/2019)
IAR
Rhode Island(12/26/2019)
RR
South Carolina(1/30/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
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)BD
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
60
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.
