John B. Hess
THE PINNACLE FINANCIAL GROUP
Darien, CT 06820
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CRD#: 1843712
Professional summary
John B Hess JR, CFP®, who also goes by John B Hess Jr, is a registered financial advisor currently at THE PINNACLE FINANCIAL GROUP located in Darien, Connecticut and LPL FINANCIAL LLC located in Darien, Connecticut.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. John has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
John B Hess Jr
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. 1/20/2010: DBA ONLY - NORTH STAR WEALTH INVESTORS, LLC - TIME SPENT 95% - DARIEN, CT.
2. 6/3/2014: REGISTERED INVESTMENT ADVISOR - (HYBRID) THE PINNACLE FINANCIAL GROUP - TIME SPENT 75% - DARIEN, CT.
3. 10/29/2014: REGISTERED INVESTMENT ADVISOR DBA - THE PINNACLE FINANCIAL GROUP - (HYBRID) - DBA: NORTH STAR WEALTH INVESTORS LLC - 80 HOURS PER MONTH/4 HOURS DURING TRADING - DARIEN, CT.
CRS (Client Relationship Summary) - RIA
Click below to view John B Hess JR'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: 1995
Experience
Current
March 1, 2019 - Present
THE PINNACLE FINANCIAL GROUP
Office #1: 30 Old Kings Hwy S, Darien, CT 06820RIA
CRD#: 164395
Darien, CT
Current
January 20, 2010 - Present
LPL FINANCIAL LLC
Office #1: 30 Old Kings Hwy South, Darien, CT 06820RIA
BD
CRD#: 6413
Darien, CT
Past
January 20, 2010 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
DARIEN, CT
Past
March 4, 2009 - June 3, 2009
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW CANAAN, CT
Past
January 29, 2009 - June 3, 2009
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW CANAAN, CT
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".
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
Registered Investment Advisory firm - (11/9/2012 Approved)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
Arizona(9/20/2013)
RR
California(9/20/2013)
RR
Connecticut(1/20/2010)
IAR
Connecticut(3/1/2019)
RR
Florida(9/20/2013)
RR
Georgia(9/20/2013)
RR
Massachusetts(9/20/2013)
RR
New Jersey(9/20/2013)
RR
New York(1/20/2010)
IAR
New York(9/1/2021)
RR
North Carolina(9/23/2013)
RR
Ohio(2/3/2012)
RR
South Carolina(9/20/2013)
RR
Texas(9/20/2013)
RR
Virginia(1/20/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
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Contact information
Main Address
9 South Long Beach Road, Rockville Centre, NY 11570
Mailing Address
Phone number
(516) 763-9700
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,538 |
| AUM (Assets Under Management) | $ 1,184,198,113 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
