Teresa Flores

PINNACLE PEAK PRIVATE CLIENT GROUP

Scottsdale, AZ 85255

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CRD#: 2686520

Professional summary

Teresa Flores, who also goes by Teresa Flores-yoder, is a registered financial advisor currently at PINNACLE PEAK PRIVATE CLIENT GROUP, LLC located in Scottsdale, Arizona.

Teresa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Teresa has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Teresa Flores-Yoder

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.

1)Pinnacle Peak Private Client Group. Investment Related. 18867 N Thompson Peak Pkwy Ste 225, Scottsdale, AZ. Registered Rep, Ops Mgr, and Partner. Start Jan 2016. 160 Hrs/Mo, 160 Trading Hrs. Maintain all aspects of running the office, client contact via phone/email/in person, all handling of account paperwork, etc. 2) Amazon. Not Investment-Related. Located at 7111 E Mayo Blvd, Scottsdale, AZ 85054. Amazon Locker / CSA. Start: 12/2023. 76 hrs/month; none during trading hours. Receive, pick and stow customer orders, process Amazon returns and prepare for delivery.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Teresa Flores's CRS (Customer Relationship Summary).

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 3, 2016 - Present

PINNACLE PEAK PRIVATE CLIENT GROUP, LLC

Office #1: 18867 N. Thompson Peak Parkway Ste #225, Scottsdale, AZ 85255

RIA

CRD#: 282003

Scottsdale, AZ

Past

September 9, 2021 - December 31, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Scottsdale, AZ

Past

January 24, 2017 - September 9, 2021

BCG SECURITIES, INC.

RIA

CRD#: 70

Scottsdale, AZ

Past

January 10, 2017 - September 9, 2021

BCG SECURITIES, INC.

CRD#: 70

Scottsdale, AZ

Past

January 22, 2016 - January 11, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Scottsdale, AZ

Past

October 8, 2012 - February 8, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SCOTTSDALE, AZ

Past

May 3, 2010 - February 8, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SCOTTSDALE, AZ

Past

November 3, 2008 - May 4, 2010

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

MILWAUKEE, WI

Past

November 3, 2008 - May 4, 2010

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 30, 2007 - October 22, 2008

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

SCOTTSDALE, AZ

Past

August 12, 2006 - May 15, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SCOTTSDALE, AZ

Past

February 14, 2006 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

SCOTTSDALE, AZ

Past

November 23, 2001 - February 13, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 9, 2001 - May 25, 2001

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

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".

PINNACLE PEAK PRIVATE CLIENT GROUP, LLC

JACK & ASSOCIATES, LLC | PINNACLE PEAK PRIVATE CLIENT GROUP, LLC

CRD#: 282003 / SEC#: 801-110993

RIA

Registered Investment Advisory firm - (8/22/2017 Approved)

Arizona

Registered Investment Advisory firm - (9/7/2017 Terminated)

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).

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

Arizona
(2/3/2016)

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: 10/5/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/13/2000

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: 4/6/2001

General Securities Representative Examination

Current Firm

PINNACLE PEAK PRIVATE CLIENT GROUP, LLC

JACK & ASSOCIATES, LLC | PINNACLE PEAK PRIVATE CLIENT GROUP, LLC

CRD#: 282003 / SEC#: 801-110993

RIA

Registered Investment Advisory firm - (8/22/2017 Approved)

Arizona

Registered Investment Advisory firm - (9/7/2017 Terminated)

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Contact information

Main Address

18867 N. Thompson Peak Parkway Ste #225, Scottsdale, AZ 85255

Mailing Address

Phone number

(480) 771-4301

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (8/18/2025)

FORM ADV PART 2A - FIRM BROCHURE (8/18/2025)

Regulatory assets under management

Total Number of Accounts	1,301
AUM (Assets Under Management)	$ 397,498,624

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

Teresa Flores

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Teresa Flores's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

BCG SECURITIES, INC.

BCG SECURITIES, INC.

PURSHE KAPLAN STERLING INVESTMENTS

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

AMERIPRISE ADVISOR SERVICES, INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

MORGAN STANLEY DW INC.

U.S. BANCORP INVESTMENTS, INC.

Primary Firm SEC Registration

PINNACLE PEAK PRIVATE CLIENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/5/2012

Series 63

Date: 6/13/2000

SIE

Date: 10/1/2018

Series 7

Date: 4/6/2001

Current Firm

PINNACLE PEAK PRIVATE CLIENT GROUP, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PINNACLE PEAK PRIVATE CLIENT GROUP, LLC

TRUST BUT VERIFY

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