Kurtis J. Deluca
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.
Kurtis John Deluca, who also goes by Kurt John Deluca, Kurt John Kurtis, was a registered financial professional .
Kurtis is a previously registered financial professional and started their career in finance in 1995. Kurtis had worked at 9 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2012 - December 7, 2012
PINNACLE INVESTMENTS, LLC
March 23, 2011 - February 6, 2012
MML INVESTORS SERVICES, LLC
September 26, 2008 - March 25, 2009
RIDGEWAY & CONGER, INC.
June 5, 2007 - August 22, 2008
ALLSTATE FINANCIAL SERVICES, LLC
June 14, 2006 - October 27, 2006
PINNACLE INVESTMENTS, INC.
May 28, 2003 - September 22, 2003
WALL STREET FINANCIAL GROUP, INC.
October 7, 1997 - April 2, 2003
UBS FINANCIAL SERVICES INC.
July 18, 1996 - October 17, 1997
PINNACLE INVESTMENTS, INC.
March 1, 1996 - August 16, 1996
MML INVESTORS SERVICES, LLC
December 5, 1995 - June 27, 1996
LEIGH BALDWIN & CO., LLC
July 17, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
PINNACLE INVESTMENTS, LLC
CRD#: 142910 / SEC#: 801-67860, 8-67515
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PINNACLE INVESTMENTS, LLC
CRD#: 142910 / SEC#: 801-67860, 8-67515
Contact information
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
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.
