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AK

Amy K. Kangleon

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CRD#: 2341348
AK

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.

Amy Kathryn Kangleon, who also goes by Amy Kathryn Giambruno, Amy Kathryn Kangleon, was a registered financial professional .

Amy is a previously registered financial professional and started their career in finance in 1993. Amy had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Kathryn Giambruno | Amy Kathryn Kangleon

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 4, 2022 - April 21, 2023

PINNACLE CAPITAL SECURITIES, LLC

BD
CRD#: 106213
LONG BEACH, CA
Past

February 23, 2021 - January 27, 2022

KCD FINANCIAL, INC.

BD
CRD#: 127473
GREEN BAY, WI
Past

January 4, 2019 - March 3, 2021

JCC CAPITAL MARKETS, LLC

BD
CRD#: 146776
LAGUNA NIGUEL, CA
Past

March 8, 2018 - December 31, 2018

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
MANCHESTER, MO
Past

October 11, 2016 - February 1, 2018

MVP AMERICAN SECURITIES

BD
CRD#: 118286
LAS VEGAS, NV
Past

June 18, 2016 - October 10, 2016

SELECT CAPITAL CORPORATION

BD
CRD#: 145997
LADERA RANCH, CA
Past

September 29, 2015 - June 16, 2016

MVP AMERICAN SECURITIES

BD
CRD#: 118286
San Diego, CA
Past

April 14, 2015 - September 25, 2015

STIRA CAPITAL MARKETS GROUP, LLC

BD
CRD#: 141277
IRVINE, CA
Past

July 31, 2007 - March 13, 2008

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

September 19, 2000 - July 10, 2001

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

March 15, 2000 - September 25, 2000

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

June 29, 1998 - September 14, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

June 3, 1996 - September 2, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

August 4, 1995 - June 3, 1996

S.G. WARBURG & CO. INC.

BD
CRD#: 1483
NEW YORK, NY
Past

October 13, 1993 - June 30, 1995

ING BARING (U.S.) SECURITIES, INC.

BD
CRD#: 5285
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/1/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/2015
General Securities Representative Examination

Current Firm

PC
PINNACLE CAPITAL SECURITIES, LLC
PINNACLE CAPITAL GROUP | PINNACLE EQUITY MANAGEMENT, LLC | PINNACLE EQUITY MANAGEMENT, INC. | PINNACLE EQUITY MANAGEMENT INC | PINNACLE CAPITAL SECURITIES, LLC

CRD#: 106213 / SEC#: 801-40956, 8-65263

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
4105 E Broadway Suite 102, Long Beach, CA 90803
Mailing Address
4105 E Broadway Suite 102, Long Beach, CA 90803
Phone number
(310) 684-2699
Established
Missouri since 02/17/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
PINNACLE CAPITAL HOLDING, LLCSHAREHOLDER
CARTER, ANA RCFO & FINOP4424794
DAVIS, WILLIAM EUGENE IIICEO & CCO3188964
PARKER, JOEL MICHAELCHIEF OPERATING OFFICER6190668
SMITH, ROBERT THOMASREGISTERED PRINCIPAL4490153
VICINI, DAVID MICHAELCHIEF INVESTMENT OFFICER6429200

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 CAPITAL SECURITIES, LLC

CRD#: 106213

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