RS
Rosalie Schlaen
PINNACLE INVESTMENTS
Miami, FL 33180
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CRD#: 1436894
RS
Professional summary
Rosalie Schlaen, CFP®, CIMA® is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Miami, Florida.
Rosalie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Rosalie has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 4 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.
Casas 2, Is Not Investment Related," Hollywood, FL, 33021, United States", rental property, owner, 8/10/2018, 0 hours per month, 0 hours per month during trading hours, Other Compensation, rental property "Casa 1, LLC",Is Not Investment Related, "None, , Miami, FL, 33152, United States", Rental Property, Owner,12/14/2014,2 hours per month,0 hours per month during trading hours, Other Compensation, Landlord
CRS (Client Relationship Summary) - RIA
Click below to view Rosalie Schlaen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rosalie Schlaen'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®
CFP®
Start date: 1999
Experience
Current
December 26, 2019 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 20801 Biscayne Blvd Suite 403 Suite 403, Miami, FL 33180RIA
BD
CRD#: 142910
Miami, FL
Current
November 10, 2019 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 20801 Biscayne Blvd Suite 403 Suite 403, Miami, FL 33180RIA
BD
CRD#: 142910
Miami, FL
Past
September 16, 2019 - October 29, 2019
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
AVENTURA, FL
Past
September 13, 2019 - October 29, 2019
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
AVENTURA, FL
Past
February 22, 2011 - September 16, 2019
MORGAN STANLEY
RIA
CRD#: 149777
AVENTURA, FL
Past
February 18, 2011 - September 16, 2019
MORGAN STANLEY
BD
CRD#: 149777
AVENTURA, FL
Past
December 3, 1986 - February 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AVENTURA, FL
Past
November 20, 1986 - February 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AVENTURA, FL
Past
February 12, 1986 - November 17, 1986
BRADSTREET CAPITAL, INC.
BD
CRD#: 14738
Past
November 29, 1985 - January 9, 1986
BROWN & HAWK, INC.
BD
CRD#: 3062
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(1/7/2020)
RR
Florida(12/26/2019)
IAR
Florida(12/26/2019)
RR
Massachusetts(2/13/2020)
IAR
Massachusetts(3/27/2025)
RR
Michigan(2/21/2020)
RR
New York(1/14/2020)
IAR
New York(1/15/2025)
RR
South Carolina(5/1/2024)
IAR
South Carolina(5/1/2024)
RR
Texas(5/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
PINNACLE INVESTMENTS, LLC
CRD#: 142910Miami, FL 33180TRUST BUT VERIFY
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