Mark C. Dziuba

PINNACLE CAPITAL ADVISORS

Fair Play, SC

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CRD#: 2441474

Professional summary

Mark C Dziuba, who also goes by Mark Christopher Dziuba, Mark Dziuba, is a registered financial advisor currently at PINNACLE CAPITAL ADVISORS located in Fair Play, South Carolina and PINNACLE CAPITAL SECURITIES, LLC located in Long Beach, California.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Mark has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 2, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Christopher Dziuba | Mark Dziuba

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.

Pass Perfect; not investment related. 3625 Brookside Pkwy, #450, Alpharetta, Georgia 30022. Course Instructor. October 2023 to present. 20 hours per month, 12 during trading hours. Teach course material to securities license candidates.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark C Dziuba'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

March 6, 2024 - Present

PINNACLE CAPITAL ADVISORS

RIA

CRD#: 309118

Fair Play, SC

Current

May 25, 2023 - Present

PINNACLE CAPITAL SECURITIES, LLC

Office #1: 4105 E Broadway Suite 102, Long Beach, CA 90803

CRD#: 106213

Long Beach, CA

Past

December 1, 2017 - March 17, 2022

WILDERMUTH ADVISORY, LLC

RIA

CRD#: 169354

FAIR PLAY, SC

Past

November 8, 2017 - March 17, 2022

WILDERMUTH SECURITIES, LLC

CRD#: 288416

PONTE VEDRA BEACH, FL

Past

November 19, 2014 - March 1, 2016

IRON FINANCIAL LLC

RIA

CRD#: 106682

FAIR PLAY, SC

Past

October 24, 2014 - February 25, 2016

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

September 23, 2013 - April 7, 2014

MORGAN STANLEY

RIA

CRD#: 149777

ANDERSON, SC

Past

September 20, 2013 - April 7, 2014

MORGAN STANLEY

CRD#: 149777

ANDERSON, SC

Past

March 26, 2013 - August 19, 2013

LONGBOARD ASSET MANAGEMENT

RIA

CRD#: 155617

PHOENIX, AZ

Past

September 12, 2012 - July 22, 2013

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

February 11, 2010 - December 9, 2011

DISTRIBUTION SERVICES, LLC

CRD#: 25938

PORTLAND, ME

Past

July 6, 2009 - December 9, 2011

SCOUT INVESTMENTS, INC.

RIA

CRD#: 111787

KANSAS CITY, MO

Past

July 13, 2007 - February 18, 2010

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

September 1, 1999 - May 3, 2007

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

ATLANTA, GA

Past

September 25, 1997 - July 20, 1999

DAVIS DISTRIBUTORS, LLC

CRD#: 7975

TUCSON, AZ

Past

July 9, 1996 - August 4, 1997

CG CAPITAL MARKETS, LLC

CRD#: 35513

BOCA RATON, FL

Past

March 29, 1996 - June 11, 1996

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

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

California
(5/25/2023)

IAR

California
(3/6/2024)

South Carolina
(5/25/2023)

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: 7/2/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/30/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/7/1994

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 2

Date: 12/23/1993

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 53

Date: 3/3/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/12/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PINNACLE CAPITAL ADVISORS

PINNACLE CAPITAL ADVISORS | PINNACLE CAPITAL ADVISORS, LLC

CRD#: 309118 / SEC#:

California

Registered Investment Advisory firm - (7/1/2020 Approved)

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Contact information

Main Address

4105 E Broadway Suite 102, Long Beach, CA 90803

Mailing Address

Phone number

(310) 684-2699

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.

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Advisor Monitoring

Firm Stability Insights

Mark C. Dziuba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark C Dziuba's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE CAPITAL SECURITIES, LLC

WILDERMUTH ADVISORY, LLC

WILDERMUTH SECURITIES, LLC

IRON FINANCIAL LLC

UNIFIED FINANCIAL SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

LONGBOARD ASSET MANAGEMENT

NORTHERN LIGHTS DISTRIBUTORS, LLC

DISTRIBUTION SERVICES, LLC

SCOUT INVESTMENTS, INC.

UMB FINANCIAL SERVICES, INC.

ENTERPRISE FUND DISTRIBUTORS, INC.

DAVIS DISTRIBUTORS, LLC

CG CAPITAL MARKETS, LLC

INVESTORS CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/2009

Series 63

Date: 5/5/1994

SIE

Date: 10/1/2018

Series 3

Date: 4/30/2013

Series 7

Date: 6/20/1997

Series 6

Date: 6/7/1994

Series 2

Date: 12/23/1993

Series 53

Date: 3/3/2003

Series 24

Date: 2/12/2001

FINRA

Current Firm

PINNACLE CAPITAL ADVISORS

Contact information

Documents

Red Flags

Company Information

PINNACLE CAPITAL ADVISORS

TRUST BUT VERIFY

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