John Michael Ivan
Professional Summary
John Michael Ivan is a registered financial advisor currently at TRANSACT CAPITAL SECURITIES, LLC located in Glen Allen, Virginia and EDGEMONT CAPITAL PARTNERS, L.P. located in New York, New York. John is registered as a RR (Registered Representative) and started their career in finance in 1985. John has worked at 11 firms and has passed the Series 66, Series 65, SIE, Series 14, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)
Contact Information
Main Address
5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057Mailing Address
5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057Phone Number
(315) 251-1101Established
New York since 08/04/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
60SEC notice filing (43 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
3,143AUM (Assets Under Management)
$1,293,553,606Disclosures
Regulatory Event
4Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2026 | Cover Page | Report |
| 09/26/2025 | Cover Page | Report |
| 12/23/2024 | Cover Page | Report |
| 03/27/2024 | Cover Page | Report |
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1992SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Michael Ivan's CRS (Customer Relationship Summary).
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