Carol V. Poarch

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CRD#: 1572531

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carol Virginia Poarch, who also goes by Carol VIrginia Herlihy, Carol Herlihy Poarch, was a registered financial professional .

Carol is a previously registered financial professional and started their career in finance in 1987. Carol had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carol Virginia Herlihy | Carol Herlihy Poarch

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)NAME: PINNACLE INVESTMENT ADVISORS ADDRESS: 233 South Detroit Avenue, Suite 100 TULSA, OK INVESTMENT RELATED (Y/N): Y START DATE: 03/01/96 POSITION HELD: LIMITED PARTNER NATURE OF OUTSIDE BUSINESS: Investment Management HRS/MO: 0 HRS/MO DURING SECURITIES TRADING: 0 BRIEF DESCRIPTION OF DUTIES: None- Investor Only

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 27, 2023 - May 24, 2024

PINNACLE INVESTMENT ADVISORS

RIA

CRD#: 108086

TULSA, OK

Past

November 13, 2014 - May 8, 2023

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

TULSA, OK

Past

November 5, 1998 - May 8, 2023

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

TULSA, OK

Past

October 1, 1997 - November 2, 1998

BANC ONE CAPITAL MARKETS, INC.

CRD#: 27267

COLUMBUS, OH

Past

February 26, 1997 - October 2, 1997

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

September 29, 1987 - October 14, 1989

F T CAPITAL MARKETS, INC.

CRD#: 18451

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".

PINNACLE INVESTMENT ADVISORS

PINNACLE HOLDINGS LLC | PINNACLE INVESTMENT ADVISORS LLC | PINNACLE INVESTMENT ADVISORS | PINNACLE HOLDINGS, LLC

CRD#: 108086 / SEC#: 801-57298

RIA

Registered Investment Advisory firm - (2/29/2000 Approved)

Oklahoma

Registered Investment Advisory firm - (5/21/2010 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/12/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/29/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/14/1989

Municipal Securities Principal Examination

Current Firm

PINNACLE INVESTMENT ADVISORS

PINNACLE HOLDINGS LLC | PINNACLE INVESTMENT ADVISORS LLC | PINNACLE INVESTMENT ADVISORS | PINNACLE HOLDINGS, LLC

CRD#: 108086 / SEC#: 801-57298

RIA

Registered Investment Advisory firm - (2/29/2000 Approved)

Oklahoma

Registered Investment Advisory firm - (5/21/2010 Terminated)

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Contact information

Main Address

1616 East 15th Street, Tulsa, OK 74120

Mailing Address

Phone number

(918) 582-6864

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PINNACLE INVESTMENT ADVISORS 4TH QUARTER 2024 BROCHURE (10/8/2025)

Regulatory assets under management

Total Number of Accounts	468
AUM (Assets Under Management)	$ 455,171,633

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/06/2024	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.

Contact information

xxxxx@xxxx.xxx

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Carol V. Poarch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

BANC ONE CAPITAL MARKETS, INC.

FISERV INVESTOR SERVICES, INC.

F T CAPITAL MARKETS, INC.

Primary Firm SEC Registration

PINNACLE INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2014

Series 63

Date: 4/29/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/18/1986

Series 53

Date: 7/14/1989

Current Firm

PINNACLE INVESTMENT ADVISORS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PINNACLE INVESTMENT ADVISORS

TRUST BUT VERIFY

Contact information

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