RG
Richard J. Green
PINNACLE INVESTMENTS
Williamsville, NY 14221
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CRD#: 1466868
RG
Professional summary
Richard Joseph Green is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Williamsville, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 7 firms and has passed the 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.
Onondaga County Board of Elections, Is Not Investment Related,"1000 Erie Boulevard West, , Syracuse, NY, 13204, United States", Election of government politicians. Election Inspector,6/25/2024,0 hours per month,0 hours per month during trading hours, Hourly Compensation, Register and assist voters during local/state/national elections. Frequency of employment is limited to (only) when those elections are held and not continually during the calendar year.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Joseph Green's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Joseph Green'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
April 12, 2021 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 5500 Main Street Suite 205, Williamsville, NY 14221Office #2: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
Williamsville, NY
Current
April 7, 2009 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 5500 Main Street Suite 205, Williamsville, NY 14221Office #2: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
Williamsville, NY
Past
February 9, 2007 - April 15, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DEWITT, NY
Past
July 23, 2004 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
SYRACUSE, NY
Past
June 30, 1993 - August 3, 2004
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
January 18, 1990 - July 1, 1993
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
July 22, 1988 - February 7, 1990
GOLDK INVESTMENT SERVICES, INC
BD
CRD#: 15514
BOSTON, MA
Past
March 27, 1986 - July 26, 1988
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
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
Alaska(9/30/2022)
RR
California(12/6/2024)
RR
Colorado(2/6/2024)
RR
Connecticut(10/11/2019)
RR
Florida(4/7/2009)
RR
Hawaii(5/14/2009)
RR
Illinois(2/12/2025)
RR
Indiana(9/13/2017)
RR
Kentucky(3/22/2017)
RR
Maryland(2/12/2025)
RR
Massachusetts(4/7/2009)
RR
Michigan(11/18/2009)
IAR
Michigan(2/14/2025)
RR
Missouri(3/5/2013)
RR
New Hampshire(2/12/2025)
RR
New Jersey(2/12/2025)
IAR
New Jersey(3/5/2025)
RR
New Mexico(11/4/2024)
RR
New York(4/7/2009)
IAR
New York(4/12/2021)
RR
North Carolina(12/15/2009)
IAR
North Carolina(2/13/2025)
RR
Pennsylvania(7/13/2012)
RR
South Carolina(1/6/2015)
RR
Tennessee(2/12/2025)
RR
Texas(9/30/2022)
IAR
Texas(9/30/2022)
RR
Vermont(5/26/2022)
IAR
Vermont(2/12/2025)
RR
Virginia(4/14/2015)
RR
Washington(8/24/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 142910Williamsville, NY 14221TRUST BUT VERIFY
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