Daniel P. Mody
PINNACLE INVESTMENTS
East Syracuse, NY 13057
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CRD#: 2487825
Professional summary
Daniel Patrick Mody, CFP®, who also goes by Daniel P Mody, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in East Syracuse, New York.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Daniel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel P Mody
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.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Patrick Mody's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Patrick Mody'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®
CFP®
Start date: 1997
Experience
Current
April 12, 2021 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
East Syracuse, NY
Current
June 8, 2007 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
East Syracuse, NY
Past
March 28, 2011 - December 5, 2011
HAZARD & SIEGEL, INC.
BD
CRD#: 2048
DEWITT, NY
Past
July 16, 2001 - June 27, 2007
PINNACLE INVESTMENTS, INC.
BD
CRD#: 40686
EAST SYRACUSE, NY
Past
May 3, 2001 - July 17, 2001
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
May 13, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 13, 1994 - May 25, 2001
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
PI
PINNACLE INVESTMENTS, LLC
PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)
CRD#: 142910 / SEC#: 801-67860, 8-67515
RIA
Registered Investment Advisory firm - SEC (5/18/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (9/12/2018 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/2/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
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
RR
Alabama(10/29/2025)
RR
Arizona(9/13/2018)
IAR
Arizona(12/1/2022)
RR
California(1/23/2025)
RR
Connecticut(1/23/2025)
IAR
Delaware(1/27/2025)
RR
Delaware(1/30/2025)
RR
Florida(1/3/2012)
IAR
Florida(1/27/2023)
RR
Georgia(4/16/2018)
IAR
Georgia(11/18/2022)
RR
Illinois(10/6/2023)
IAR
Illinois(10/6/2023)
RR
Louisiana(1/24/2025)
RR
Maryland(2/3/2025)
RR
Massachusetts(8/3/2021)
IAR
Massachusetts(2/9/2023)
RR
Missouri(1/28/2025)
IAR
Missouri(1/28/2025)
RR
New Hampshire(9/7/2022)
IAR
New Hampshire(9/13/2022)
RR
New Jersey(5/13/2013)
IAR
New Jersey(12/2/2022)
RR
New York(6/14/2007)
IAR
New York(4/12/2021)
RR
Ohio(2/2/2025)
RR
Pennsylvania(1/23/2025)
RR
South Carolina(11/9/2017)
RR
Texas(6/23/2023)
IAR
Texas(6/23/2023)
RR
Vermont(1/23/2025)
IAR
Vermont(1/23/2025)
RR
Washington(1/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PINNACLE INVESTMENTS, LLC
PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)
CRD#: 142910 / SEC#: 801-67860, 8-67515
RIA
Registered Investment Advisory firm - SEC (5/18/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (9/12/2018 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/2/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057
Mailing Address
5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057
Phone number
(315) 251-1101
Established
New York since 08/04/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
60
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.
Company Information
PINNACLE INVESTMENTS, LLC
CRD#: 142910East Syracuse, NY 13057TRUST BUT VERIFY
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