DC
Douglas S. Coleman
THE PINNACLE FINANCIAL GROUP
Melville, NY 11747
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CRD#: 1398216
DC
Professional summary
Douglas Scott Coleman is a registered financial advisor currently at THE PINNACLE FINANCIAL GROUP located in Melville, New York and LPL FINANCIAL LLC located in Delray Beach, Florida.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Douglas has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1. 11/11/2020 - Coleman Investment Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/10/2020.
2. 11/18/2020 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 11/10/2020 - 20 Hours Per Month/I provide investment advisory services through The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity in 11/2020. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's 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 Douglas Scott Coleman'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 31, 2021 - Present
THE PINNACLE FINANCIAL GROUP
Office #1: 555 Broadhollow Rd Suite 426, Melville, NY 11747RIA
CRD#: 164395
Melville, NY
Current
November 11, 2020 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
DELRAY BEACH, FL
Past
May 5, 2008 - December 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WOODBURY, NY
Past
July 1, 2003 - December 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WOODBURY, NY
Past
October 1, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 23, 1998 - October 11, 2001
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
Past
December 7, 1994 - November 23, 1998
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
March 11, 1993 - December 19, 1994
BERKELEY SECURITIES CORPORATION
BD
CRD#: 8397
NEW YORK, NY
Past
January 27, 1993 - March 23, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
April 11, 1988 - February 14, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 20, 1985 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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
California(11/11/2020)
RR
Colorado(11/11/2020)
RR
Connecticut(11/11/2020)
RR
Florida(11/11/2020)
RR
Georgia(11/11/2020)
RR
Maryland(11/11/2020)
RR
Massachusetts(11/11/2020)
RR
Michigan(4/14/2025)
RR
New Jersey(11/11/2020)
RR
New York(11/11/2020)
IAR
New York(8/31/2021)
RR
North Carolina(9/28/2021)
RR
Pennsylvania(11/11/2020)
Exams
State Security Law Exam
State Security Law 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#: 164395Melville, NY 11747TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
