TB
Thomas E. Brookhouzen
PINNACLE INVESTMENTS
Mesa, AZ 85209
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CRD#: 1751693
TB
Professional summary
Thomas Edgar Brookhouzen is a registered financial professional currently at PINNACLE INVESTMENTS, LLC located in Mesa, Arizona.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 4 firms and has passed the Series 63, Series 42, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Edgar Brookhouzen'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
June 26, 2019 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 4840 E. Jasmine Street Unit 110, Mesa, AZ 85209RIA
BD
CRD#: 142910
Mesa, AZ
Past
February 3, 2009 - July 10, 2019
ESSEX SECURITIES LLC
BD
CRD#: 46605
DIAMOND BAR, CA
Past
July 28, 2006 - December 31, 2008
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
DIAMOND BAR, CA
Past
November 22, 1989 - April 4, 2006
EMPIRE SECURITIES CORPORATION
BD
CRD#: 2826
EL SEGUNDO, CA
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.
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
Arizona(5/11/2022)
RR
California(6/26/2019)
RR
North Carolina(10/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 42
Date: 1/2/2023
Registered Options Representative ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PINNACLE INVESTMENTS, LLC
CRD#: 142910Mesa, AZ 85209TRUST BUT VERIFY
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