John T. Pineman

MODERN CAPITAL ADVISORS

HIGHLANDS RANCH, CO

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CRD#: 1414127

Professional summary

John Thomas Pineman is a registered financial advisor currently at MODERN CAPITAL ADVISORS, LLC located in Highlands Ranch, Colorado.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. John has worked at 18 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 8, Series 53, Series 4 and Series 24 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.

PINEMAN INVESTMENT & CONSULTING, INC., OWNER, 9348 NEWPORT LANE, HIGHLANDS RANCH, CO 80130, PH 303-955-6074, START 6/11/09, HRS MO. 10, DUTIES: S-CORP FOR TAX PURPOSES ONLY; DBA - PINEMAN CAPITAL PINEMAN CAPITAL, INC. 02/10/10; SAME ADDRESS, INVESTMENT RELATED: YES, THROUGH Liberty Partners/Modern Capital; POSITION: PRESIDENT/CEO; COMPENSATION: FEES & COMMISSIONS GENERATED THROUGH Liberty Partners/Modern Capital S-CORP IS FOR TAX PURPOSES AND ADMINISTATION; HRS PER MONTH: 80; TRADING HRS: 80; DUTIES: S-CORP FOR TAX PURPOSES AND ADMIN; NO OTHER REGISTERED REPRESENTATIVES ARE AFFILIATED; CHANGES TO PREVIOUS: NAME CHANGED TO PINEMAN CAPITAL, INC. PINNACLE INSURANCE & FINANCIAL SERVICES; WWW.PINNACLEIFS.COM;INSURANCE & ANNUITIES;ACCOUNT EXECUTIVE; COMMISSION; INSURANCE & ANNUITY SALES; HRS PER MONTH: 15 TO 20; HRS PER MONTH DURING TRADING HRS: 4 TO 5; SALES OF FIXED INSURANCE AND ANNUITY PRODUCTS TO PROSPECTS AND CLIENTS. InsurMark; INSURANCE AND ANNUITIES; ACCOUNT EXECUTIVE; COMMISSION; SALE OF FIXED INSURANCE & ANNUITY PRODUCTS; HRS PER MNTH: 15 TO 20; HRS PER MONTH DURING TRADING HRS: 4 TO 5; Modern Capital Advisors: Investment Advisory Rep: Investment Related, 25-35 hours per week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Pineman'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 7, 2022 - Present

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

HIGHLANDS RANCH, CO

Past

August 2, 2012 - December 31, 2021

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

HIGHLANDS RANCH, CO

Past

August 2, 2012 - October 31, 2025

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

HIGHLANDS RANCH, CO

Past

March 1, 2012 - August 6, 2012

PINEMAN CAPITAL ADVISORS, INC.

RIA

CRD#: 159886

HIGHLANDS RANCH, CO

Past

January 27, 2010 - August 3, 2012

BROKERSXPRESS LLC

RIA

CRD#: 127081

HIGHLANDS RANCH, CO

Past

January 27, 2010 - August 3, 2012

BROKERSXPRESS LLC

CRD#: 127081

HIGHLANDS RANCH, CO

Past

October 23, 2006 - February 2, 2010

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

GREENWOOD VILLAGE, CO

Past

July 17, 2006 - February 2, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

GREENWOOD VILLAGE, CO

Past

June 21, 2002 - July 18, 2006

TRIPP & CO., INC.

CRD#: 6967

ELMWOOD PARK, NJ

Past

July 3, 2000 - December 8, 2000

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

February 9, 2000 - June 26, 2000

FIRST SECURITY INVESTMENTS, INC.

CRD#: 24035

KINGSTON, PA

Past

July 31, 1997 - September 13, 1999

THE THERMOPYLAE GROUP, INC.

CRD#: 3059

NEW YORK, NY

Past

September 12, 1996 - August 8, 1997

MILLENNIUM SECURITIES CORP.

CRD#: 31695

NEW YORK, NY

Past

April 9, 1996 - August 30, 1996

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

Past

April 26, 1994 - September 21, 1995

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

December 17, 1993 - May 10, 1994

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

August 4, 1993 - December 22, 1993

MERIDIAN, DUNHILL & CO., INC.

CRD#: 15294

Past

June 25, 1993 - August 4, 1993

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

May 9, 1991 - June 29, 1993

PRINCETON AMERICAN EQUITIES CORPORATION

CRD#: 14491

PHOENIX, AZ

Past

January 16, 1989 - March 27, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

October 22, 1985 - April 7, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/22/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/2/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/7/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 2/9/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 53

Date: 9/23/1997

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/6/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/1992

General Securities Principal Examination

Current Firm

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

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Contact information

Main Address

7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617

Mailing Address

Phone number

(800) 440-0442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODERN CAPITAL ADVISORS ADV 2A (3/29/2024)

Regulatory assets under management

Total Number of Accounts	1,561
AUM (Assets Under Management)	$ 285,401,221

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.

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John T. Pineman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Thomas Pineman's CRS (Customer Relationship Summary).

Certified licenses

Experience

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

PINEMAN CAPITAL ADVISORS, INC.

BROKERSXPRESS LLC

BROKERSXPRESS LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

TRIPP & CO., INC.

MERIT CAPITAL ASSOCIATES, INC.

FIRST SECURITY INVESTMENTS, INC.

THE THERMOPYLAE GROUP, INC.

MILLENNIUM SECURITIES CORP.

INVESTORS ASSOCIATES, INC.

COMMONWEALTH ASSOCIATES

CHARLES SCHWAB & CO., INC.

MERIDIAN, DUNHILL & CO., INC.

SCHNEIDER SECURITIES, INC.

PRINCETON AMERICAN EQUITIES CORPORATION

DREXEL BURNHAM LAMBERT INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MODERN CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/2000

Series 63

Date: 5/2/1991

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 3

Date: 5/7/1991

Series 7

Date: 10/19/1985

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 2/9/1998

Series 53

Date: 9/23/1997

Series 4

Date: 1/6/1997

Series 24

Date: 6/23/1992

Current Firm

MODERN CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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