Pina Formicola

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT

Rochester, NY 14623

Some features on this profile are disabled

CRD#: 1852847

Professional summary

Pina Formicola, AIF®, who also goes by Pina Halvatzis, is a registered financial advisor currently at INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC located in Rochester, New York and PEAK BROKERAGE SERVICES, LLC located in Rochester, New York.

Pina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Pina has worked at 17 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pina Halvatzis

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) Business Activity: Investment Advisory; Business Entity: ISWM; Duties of Position: Prospect, acquire new clients, service existing; Title: Investment Advisor; Start Date: 08/2024; Approx. # of hours per week spent on activity: 28; Approx. # of hours spent during trading hours: 7 2) Business Activity: Investment Advisory; Business Entity: Peak Brokerage Services; Duties of Position: Registered Representative, acquire new clients, service existing; Title: Registered Representative; Start Date: 07/2024; Approx. # of hours per week spent on activity: 12; Approx. # of hours spent during trading hours: 1 3) Business Activity: Insurance Agent; Business Entity: Top Advisors Group; Duties of Position: Identify insurance/income needs and provide solutions; Title: Insurance Agent 4) Business Activity: The Financial Guys; Business Entity: DBA; Duties of Position: Financial Planning, acquire new clients, service existing

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pina Formicola's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

August 14, 2024 - Present

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

Office #1: 3445 Winton Place Suite 117, Rochester, NY 14623

RIA

CRD#: 144733

Rochester, NY

Current

August 5, 2024 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 3445 Winton Place Suite 119 - 120, Rochester, NY 14623

CRD#: 157045

Rochester, NY

Past

September 1, 2023 - August 7, 2024

OSAIC WEALTH, INC.

RIA

CRD#: 23131

ROCHESTER, NY

Past

September 1, 2023 - August 7, 2024

OSAIC WEALTH, INC.

CRD#: 23131

ROCHESTER, NY

Past

April 23, 2021 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

ROCHESTER, NY

Past

November 5, 2020 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

ROCHESTER, NY

Past

February 12, 2016 - November 5, 2020

SAGE, RUTTY & CO., INC.

CRD#: 3254

ROCHESTER, NY

Past

June 28, 2013 - February 16, 2016

LEIGH BALDWIN & CO., LLC

CRD#: 38751

ROCHESTER, NY

Past

July 29, 2011 - June 28, 2013

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

ROCHESTER, NY

Past

March 7, 2011 - August 1, 2011

ENSEMBLE FINANCIAL SERVICES, INC.

RIA

CRD#: 17443

ROCHESTER, NY

Past

January 3, 2007 - August 1, 2011

ENSEMBLE FINANCIAL SERVICES, INC.

CRD#: 17443

ROCHESTER, NY

Past

April 18, 2005 - January 18, 2007

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ROCHESTER, NY

Past

January 4, 2002 - April 13, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROCHESTER, NY

Past

July 27, 1999 - April 13, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 1, 1995 - July 13, 1999

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

November 24, 1993 - May 1, 1995

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

January 10, 1992 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

Past

January 7, 1992 - September 4, 1992

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

August 6, 1991 - January 9, 1992

R.B. WEBSTER INVESTMENTS, INC.

CRD#: 19273

Past

March 28, 1989 - August 9, 1991

PRINCETON FINANCIAL GROUP, INC.

CRD#: 14597

Past

September 20, 1988 - February 28, 1989

POWER SECURITIES CORPORATION

CRD#: 15527

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".

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD#: 144733 / SEC#: 801-69708

RIA

Registered Investment Advisory firm - (11/10/2008 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.

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

Florida
(8/5/2024)

Nevada
(9/9/2024)

New Jersey
(8/5/2024)

New Mexico
(8/5/2024)

New York
(8/5/2024)

IAR

New York
(8/14/2024)

North Carolina
(9/4/2024)

South Carolina
(9/5/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

CRD#: 144733 / SEC#: 801-69708

RIA

Registered Investment Advisory firm - (11/10/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

305 Spindrift Drive, Williamsville, NY 14221

Mailing Address

Phone number

(716) 568-8566

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ISWM FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	6,427
AUM (Assets Under Management)	$ 1,226,210,629

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.

Similar Advisors

Mark Downey

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Rochester, NY

Donald Devitto

RBC CAPITAL MARKETS, LLC

IAR

Rochester, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Pina Formicola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pina Formicola's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SAGE, RUTTY & CO., INC.

LEIGH BALDWIN & CO., LLC

WALL STREET FINANCIAL GROUP, INC.

ENSEMBLE FINANCIAL SERVICES, INC.

ENSEMBLE FINANCIAL SERVICES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

M&T SECURITIES, INC.

IFMG SECURITIES, INC.

CITICORP FINANCIAL SERVICES,INC.

CITICORP INVESTMENT SERVICES

R.B. WEBSTER INVESTMENTS, INC.

PRINCETON FINANCIAL GROUP, INC.

POWER SECURITIES CORPORATION

Primary Firm SEC Registration

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2024

Series 63

Date: 11/23/1988

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1988

Series 24

Date: 11/17/1997

FINRA

Current Firm

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT SOLUTIONS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors