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JI

John M. Ivan

TRANSACT CAPITAL SECURITIES
Glen Allen, VA 23060
Some features on this profile are disabled
CRD#: 1292150
JI

Professional summary

John Michael Ivan is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Michael Ivan'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

January 23, 2024 - Present

TRANSACT CAPITAL SECURITIES, LLC

Office #1: 4991 Lake Brook Dr. Suite 150, Glen Allen, VA 23060
BD
CRD#: 133822
Glen Allen, VA
Current

January 30, 2024 - Present

EDGEMONT CAPITAL PARTNERS, L.P.

Office #1: 787 7th Avenue 49th Floor, New York, NY, 10019
BD
CRD#: 122572
New York, NY
Current

July 9, 2025 - Present

HIGGINBOTHAM SECURITIES

Office #1: 4424 West Sam Houston Pkwy N Suite 1000, Houston, TX 77041
BD
CRD#: 335402
HOUSTON, TX
Current

April 1, 2026 - Present

PINNACLE INVESTMENTS, LLC

Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057
RIA
BD
CRD#: 142910
East Syracuse, NY
Past

June 14, 2023 - December 4, 2023

OCEAN TOMO INVESTMENT GROUP, LLC

BD
CRD#: 172912
NEW YORK, NY
Past

January 27, 2016 - January 18, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST. PETERSBURG, FL
Past

January 26, 2016 - January 18, 2018

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

January 2, 2013 - October 16, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

December 18, 2012 - October 16, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

June 8, 2006 - September 4, 2012

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
PHILADELPHIA, PA
Past

April 12, 2005 - September 4, 2012

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

March 30, 2000 - April 11, 2005

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 1, 1999 - April 17, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 18, 1985 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/7/2006
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/30/1990
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/18/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 7/11/2024
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/12/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/1/1992
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
PINNACLE HOLDING CO, LLCMANAGING MEMBER
GEORGE, KENNETH RONALDFINOP2643369
JACOBSEN, BRYAN KCHIEF COMPLIANCE OFFICER3055957
KROUSE, ERIC DOUGLASCOO / OPTIONS PRINCIPAL4338577
QUILTY, BENJAMIN RYANCHIEF EXECUTIVE OFFICER5391743

Regulatory assets under management

Total Number of Accounts2,860
AUM (Assets Under Management)$ 1,056,507,711

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

PINNACLE INVESTMENTS, LLC

CRD#: 142910Glen Allen, VA 23060

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