Tariq K. Frantz

PINNACLE CAPITAL SECURITIES

Long Beach, CA 90803

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CRD#: 2795478

Professional summary

Tariq Kenneth Frantz, who also goes by T.k. Frantz, is a registered financial professional currently at PINNACLE CAPITAL SECURITIES, LLC located in Long Beach, California.

Tariq is registered as a RR (Registered Representative) and started their career in finance in 1996. Tariq has worked at 16 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

T.k. Frantz

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) - BD

Click below to view Tariq Kenneth Frantz'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 18, 2022 - Present

PINNACLE CAPITAL SECURITIES, LLC

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

CRD#: 106213

Long Beach, CA

Past

August 12, 2020 - January 21, 2022

INTEGRITY BROKERAGE, LLC

CRD#: 117589

SEATTLE, WA

Past

June 15, 2018 - April 20, 2020

KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898

Solana Beach, CA

Past

January 8, 2018 - June 15, 2018

SGMA CAPITAL MARKETS LIMITED

CRD#: 135327

Solana Beach, CA

Past

July 7, 2016 - December 31, 2017

RCX CAPITAL GROUP, LLC

CRD#: 114290

SAN DIEGO, CA

Past

January 24, 2013 - January 8, 2015

KELLEHER FINANCIAL ADVISORS, LLC

RIA

CRD#: 126021

DANA POINT, CA

Past

January 23, 2013 - January 8, 2015

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

August 31, 2011 - September 11, 2012

SILBER BENNETT FINANCIAL, INC.

CRD#: 156435

SHERMAN OAKS, CA

Past

May 16, 2011 - June 29, 2011

SILBER BENNETT FINANCIAL, INC.

RIA

CRD#: 156435

SHERMAN OAKS, CA

Past

October 6, 2010 - July 15, 2011

RCX CAPITAL GROUP, LLC

CRD#: 114290

CARLSBAD, CA

Past

April 13, 2010 - September 24, 2010

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

CRD#: 135288

EAGLE, ID

Past

October 22, 2007 - May 22, 2009

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

SAN FRANCISCO, CA

Past

January 22, 2004 - August 2, 2005

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

January 2, 2004 - August 1, 2005

BRANDES INVESTMENT PARTNERS, LP

RIA

CRD#: 105404

SAN DIEGO, CA

Past

January 4, 2001 - February 5, 2002

AVIOR CAPITAL, LLC

CRD#: 44732

SAN DIEGO, CA

Past

February 25, 2000 - February 29, 2000

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

CRD#: 7449

VANCOUVER,

Past

February 1, 1999 - April 8, 1999

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

October 10, 1996 - January 14, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

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
(2/18/2022)

Florida
(2/28/2022)

Exams

State Security Law Exam

Series 63

Date: 10/30/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/1/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/11/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
PINNACLE CAPITAL HOLDING, LLC	SHAREHOLDER
CARTER, ANA R	CFO & FINOP	4424794
DAVIS, WILLIAM EUGENE III	CEO & CCO	3188964
PARKER, JOEL MICHAEL	CHIEF OPERATING OFFICER	6190668
SMITH, ROBERT THOMAS	REGISTERED PRINCIPAL	4490153
VICINI, DAVID MICHAEL	CHIEF INVESTMENT OFFICER	6429200

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

Tariq K. Frantz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tariq Kenneth Frantz's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY BROKERAGE, LLC

KINGSWOOD CAPITAL PARTNERS, LLC

SGMA CAPITAL MARKETS LIMITED

RCX CAPITAL GROUP, LLC

KELLEHER FINANCIAL ADVISORS, LLC

WALL STREET ACCESS

SILBER BENNETT FINANCIAL, INC.

SILBER BENNETT FINANCIAL, INC.

RCX CAPITAL GROUP, LLC

AMERICAN INDEPENDENT SECURITIES GROUP, LLC

BANC OF AMERICA SECURITIES LLC

QUASAR DISTRIBUTORS, LLC

BRANDES INVESTMENT PARTNERS, LP

AVIOR CAPITAL, LLC

CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.

RBC CAPITAL MARKETS CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 10/30/2007

Series 65

Date: 11/1/1996

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/9/1996

Series 24

Date: 6/11/2010

FINRA

Current Firm

PINNACLE CAPITAL SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PINNACLE CAPITAL SECURITIES, LLC

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