Giuseppe Serino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Giuseppe Serino, who also goes by Joe Serino, Joey Serino, Joseph Serino, was a registered financial professional .
Giuseppe is a previously registered financial professional and started their career in finance in 1997. Giuseppe had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2021 - November 21, 2022
PINNACLE INVESTMENTS, LLC
December 6, 2019 - August 23, 2020
STONEX SECURITIES INC.
June 30, 2011 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
April 22, 2005 - April 29, 2011
KOVACK SECURITIES INC.
December 11, 2003 - September 10, 2004
CAPITAL SECURITIES OF AMERICA, INC.
November 19, 2001 - December 7, 2001
ADOLPH KOMORSKY INVESTMENTS
November 16, 2001 - June 6, 2002
RYAN BECK & CO.
December 8, 2000 - November 8, 2001
BLUESTONE CAPITAL CORP.
April 13, 1999 - December 5, 2000
CLEARING SERVICES OF AMERICA, INC.
August 17, 1998 - April 14, 1999
ALL-TECH DIRECT, INC.
April 9, 1998 - July 14, 1998
PRUDENTIAL EQUITY GROUP, LLC
November 6, 1997 - April 6, 1998
LLOYD WADE SECURITIES INC.
April 25, 1997 - November 11, 1997
ROYCE INVESTMENT GROUP, 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
Exams
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.
