JE
Joseph D. Esposito
THE PINNACLE FINANCIAL GROUP
Rockville Centre, NY 11570
Some features on this profile are disabled
CRD#: 3086217
JE
Professional summary
Joseph Donald Esposito, who also goes by Joseph D Esposito, is a registered financial advisor currently at THE PINNACLE FINANCIAL GROUP located in Rockville Centre, New York and LPL FINANCIAL LLC located in Rockville Centre, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph D Esposito
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. 05/07/2003 - PINNACLE FINANCIAL SERVICES - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 2. 02/26/2009 - REAL ESTATE RENTAL - RENTAL HOME IN ELMONT, NEW YORK. 3. 02/15/2013 - The Pinnacle Financial Group - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 4. 01/13/2014 - JLE PROPERTY MANAGEMENT - REAL ESTATE RENTAL - ONE OFFICE BUILDING - TIME SPENT 5% - ROCKVILLE CENTRE, NY 5. 05/05/2014 - HILLSBORO REALTY - REAL ESTATE RENTAL - ONE RENTAL PROPERTY. THEY ARE NOT CLIENTS OR ADVISORS,OR BD'S - TIME SPENT 2% - ROCKVILLE CENTRE, NY 6. 01/22/2016 - Logstar Property Management LLC - INV REL - 866 West Jericho Turnpike, Huntington NY - Real Estate Rental - START 01/12/2016 - 2 HOURS PER MONTH. 7. 6/13/2017 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 12/31/2016 - 20 Hours Per Month/4 Hours During Securities Trading - I provide investment advisory services through The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity on 6/13/2017. I expect to spend approximately 20 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8. 12/15/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 11/06/2017 - 2 Hours Per Month/1 During Securities Trading. 9. 08/26/2019 - Securities Reality LLC - Not investment related - At reported business location(s) - Business Entity For Tax/Investment Purposes Only - start date:08/01/2019 - 5 hrs/mo - 0 hrs during trading. 10. 11/18/2021 - Securities Reality LLC - Investment Related - 555 Broadhollow Rd, Melville, NY 11747 - Real Estate Rental - Started 11/16/2021 - 8 Hours Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Donald Esposito'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®
NoneExperience
Current
August 12, 2021 - Present
THE PINNACLE FINANCIAL GROUP
Office #1: 9 South Long Beach Road, Rockville Centre, NY 11570RIA
CRD#: 164395
Rockville Centre, NY
Current
December 20, 2002 - Present
LPL FINANCIAL LLC
Office #1: 9 S. Long Beach Rd., Rockville Centre, NY 11570RIA
BD
CRD#: 6413
Rockville Centre, NY
Past
May 21, 2014 - May 21, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
HAUPPAUGE, NY
Past
January 3, 2003 - August 28, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
HAUPPAUGE, NY
Past
December 18, 2002 - January 9, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
VALLEY STREAM, NY
Past
December 13, 2002 - January 9, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
May 18, 2001 - January 2, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 11, 1999 - May 24, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
Registered Investment Advisory firm - (11/9/2012 Approved)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(6/13/2019)
RR
Arizona(2/22/2013)
RR
California(2/18/2004)
RR
Colorado(10/28/2014)
RR
Connecticut(12/20/2002)
RR
Delaware(9/5/2017)
RR
District of Columbia(10/27/2014)
RR
Florida(12/20/2002)
RR
Georgia(1/5/2012)
RR
Hawaii(2/5/2025)
RR
Idaho(9/11/2017)
RR
Illinois(4/4/2018)
RR
Indiana(1/7/2016)
RR
Iowa(10/19/2021)
RR
Kansas(7/30/2021)
RR
Kentucky(2/5/2025)
RR
Louisiana(6/11/2019)
RR
Maine(6/14/2013)
RR
Maryland(7/22/2013)
RR
Massachusetts(4/24/2008)
RR
Michigan(1/6/2016)
RR
Minnesota(1/7/2016)
RR
Missouri(6/13/2019)
RR
Montana(6/11/2019)
RR
Nebraska(6/11/2019)
RR
Nevada(6/18/2019)
RR
New Hampshire(2/14/2013)
RR
New Jersey(12/20/2002)
RR
New Mexico(10/15/2024)
RR
New York(12/20/2002)
IAR
New York(8/12/2021)
RR
North Carolina(6/7/2005)
RR
North Dakota(1/30/2023)
RR
Ohio(6/11/2019)
RR
Oklahoma(7/31/2020)
RR
Oregon(3/20/2014)
RR
Pennsylvania(2/15/2013)
RR
Puerto Rico(7/10/2020)
RR
Rhode Island(1/4/2021)
RR
South Carolina(8/20/2008)
RR
Texas(5/21/2014)
RR
Utah(12/11/2023)
RR
Vermont(4/25/2018)
RR
Virgin Islands(12/7/2015)
RR
Virginia(4/18/2007)
RR
Washington(6/10/2019)
RR
West Virginia(1/14/2016)
RR
Wisconsin(2/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
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Contact information
Main Address
9 South Long Beach Road, Rockville Centre, NY 11570
Mailing Address
Phone number
(516) 763-9700
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,538 |
| AUM (Assets Under Management) | $ 1,184,198,113 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THE PINNACLE FINANCIAL GROUP
CRD#: 164395Rockville Centre, NY 11570TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
