Patrick V. Loc

PINNACLE TREASURY INVESTMENTS

Nacogdoches, TX

Some features on this profile are disabled

CRD#: 2254868

Professional summary

Patrick Van Hue Loc, who also goes by Patrick Vanhue Loc, is a registered financial advisor currently at PINNACLE TREASURY INVESTMENTS, LLC located in Nacogdoches, Texas.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Patrick has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick Vanhue Loc

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.

Name: Mark12V31 LLC; Investment-related: No; Address: 3003 Mark Drive, Arlington, TX, 76013; Nature: Beekeeping in development; Position: Sole Owner; Start date: March 2018; Approximate number of hours/month: 14 hours. Number of hours I devote to the other business during securities trading hours: 0. Duties: I am the sole owner of the business. Name: RunTime Centers; Investment-related: Yes, real estate; Address: Arlington, TX; Nature: commercial real estate development for the quick service restaurant industry; Position/Title: CFO; Start date: September 2023; Approximate number of hour/month: 80-100 hours; Number of hours I devote to the other business during securities trading hours: 0; Duties: strategic planning, marketing, business development, product development, financial modeling, and financial planning and analysis.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Van Hue Loc'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®

None

Experience

Current

February 28, 2020 - Present

PINNACLE TREASURY INVESTMENTS, LLC

RIA

CRD#: 305076

Nacogdoches, TX

Past

November 27, 2018 - September 20, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

Westlake, TX

Past

August 9, 2016 - September 13, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

September 18, 2008 - June 22, 2011

INTEO CAPITAL

RIA

CRD#: 147948

ARLINGTON, TX

Past

April 12, 2007 - June 18, 2008

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

GREENWICH, CT

Past

April 12, 2007 - June 18, 2008

CHARLES SCHWAB & CO., INC.

CRD#: 5393

GREENWICH, CT

Past

March 8, 2006 - March 28, 2007

DU PASQUIER & CO., INC.

CRD#: 24750

NEW YORK, NY

Past

November 27, 2002 - March 17, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

STAMFORD, CT

Past

November 11, 2002 - March 17, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

STAMFORD, CT

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

Texas
(2/28/2020)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/20/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/30/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/9/2016

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/20/2005

National Commodity Futures Examination

Current Firm

PINNACLE TREASURY INVESTMENTS, LLC

CRD#: 305076 / SEC#:

Connecticut

Registered Investment Advisory firm - (5/20/2024 Terminated)

Texas

Registered Investment Advisory firm - (10/3/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Austin, TX

Mailing Address

Phone number

(512) 387-4365

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Patrick V. Loc

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Van Hue Loc's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

INTEO CAPITAL

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

DU PASQUIER & CO., INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/20/2018

Series 63

Date: 8/30/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2016

Series 3

Date: 5/20/2005

Current Firm

PINNACLE TREASURY INVESTMENTS, LLC

Contact information

Documents

Red Flags

Company Information

PINNACLE TREASURY INVESTMENTS, LLC

TRUST BUT VERIFY

Similar Advisors