Steven Georgopoulos
Professional summary
Steven Georgopoulos is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Boca Raton, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Georgopoulos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Georgopoulos's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2021 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 7601 North Federal Highway Suite 125b, Boca Raton, FL 33487September 23, 2019 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 7601 North Federal Highway Suite 125b, Boca Raton, FL 33487May 21, 2018 - September 25, 2019
DAWSON JAMES SECURITIES, INC.
April 29, 2014 - June 18, 2018
WOODSTOCK FINANCIAL GROUP, INC.
August 3, 2012 - May 5, 2014
HUNTER SCOTT FINANCIAL LLC.
March 19, 2012 - August 6, 2012
BROOKVILLE CAPITAL PARTNERS
April 4, 2007 - May 21, 2010
JHS CAPITAL ADVISORS, LLC
January 6, 2006 - March 23, 2007
J.P. TURNER & COMPANY, L.L.C.
February 7, 2003 - June 21, 2005
GUNNALLEN FINANCIAL, INC
July 9, 2002 - August 28, 2002
EKN FINANCIAL SERVICES INC.
June 13, 2001 - June 24, 2002
KSH INVESTMENT GROUP, INC.
November 14, 2000 - June 12, 2001
HARRISON SECURITIES, INC.
September 2, 1999 - December 13, 1999
LADENBURG CAPITAL MANAGEMENT INC.
July 26, 1999 - November 9, 2000
M.S. FARRELL & COMPANY, INC.
February 4, 1999 - July 13, 1999
WHITEHALL WELLINGTON INVESTMENTS, INC.
August 19, 1998 - February 8, 1999
LADENBURG CAPITAL MANAGEMENT INC.
March 21, 1997 - August 27, 1998
FIRST ASSET MANAGEMENT, INC.
Primary Firm SEC Registration
PINNACLE INVESTMENTS, LLC
CRD#: 142910 / SEC#: 801-67860, 8-67515
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/30/2020)
(2/4/2020)
(10/15/2019)
(11/30/2022)
(10/11/2019)
(10/1/2019)
(9/9/2021)
(1/25/2024)
(1/31/2020)
(10/14/2019)
(2/5/2020)
(10/15/2019)
(1/29/2024)
(2/4/2020)
(11/27/2019)
(9/23/2019)
(10/15/2019)
(1/25/2024)
(11/20/2019)
(10/15/2019)
(10/15/2019)
(2/27/2020)
Exams
Series 62
Date: 3/10/1997
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
PINNACLE INVESTMENTS, LLC
CRD#: 142910 / SEC#: 801-67860, 8-67515
Contact information
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.
