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DD

Donald M. Dowd

PINNACLE ASSOCIATES, LTD.
New York, NY 10017
Some features on this profile are disabled
CRD#: 1870120
DD

Professional summary

Donald Maurer Dowd III, who also goes by Don Dowd, is a registered financial advisor currently at PINNACLE ASSOCIATES, LTD. located in New York, New York.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Donald has worked at 7 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Don Dowd

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Maurer Dowd III'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®
None

Experience

Current

September 14, 2021 - Present

PINNACLE ASSOCIATES, LTD.

Office #1: 286 Madison Avenue 20th Floor, New York, NY 10017
RIA
CRD#: 110631
New York, NY
Past

April 3, 2006 - July 14, 2009

MATRIX CAPITAL GROUP, INC.

BD
CRD#: 33364
NEW YORK, NY
Past

May 2, 2003 - April 6, 2006

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

March 3, 2003 - May 5, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

February 20, 2003 - March 3, 2003

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

December 3, 1990 - May 3, 2001

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY
Past

December 20, 1988 - December 14, 1990

LABRANCHE FINANCIAL SERVICES, LLC

BD
CRD#: 7432
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".
PA
PINNACLE ASSOCIATES, LTD.
PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)

CRD#: 110631 / SEC#: 801-20841

RIA
Registered Investment Advisory firm - (3/16/1984 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.

Highlighted states indicate IAR registrations

IAR
New York
(9/14/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/7/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 4/18/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination

Current Firm

PA
PINNACLE ASSOCIATES, LTD.
PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)

CRD#: 110631 / SEC#: 801-20841

RIA
Registered Investment Advisory firm - (3/16/1984 Approved)
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Contact information

Main Address
286 Madison Avenue 20th Floor, New York, NY 10017
Mailing Address
Phone number
(212) 652-3200
Established
Firm type
Fiscal year end
# of Employees
70

SEC notice filing (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PINNACLE ASSOCIATES LTD. FORM ADV 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts6,429
AUM (Assets Under Management)$ 9,866,562,515

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/28/2025
Cover Page
Report
01/14/2025
Cover Page
Report
01/11/2024
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.

Company Information

PINNACLE ASSOCIATES, LTD.

CRD#: 110631New York, NY 10017

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