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EV

Elisa Verna-caspare

THE PINNACLE FINANCIAL GROUP
HUNTINGTON, NY 11743
Some features on this profile are disabled
CRD#: 3223044
EV

Professional summary

Elisa Verna-caspare, who also goes by Elisa Marie Caspare, Elisa Verna Caspare, Lisa Caspare, Verna Caspare, Elisa Verna, is a registered financial advisor currently at THE PINNACLE FINANCIAL GROUP located in Huntington, New York and LPL FINANCIAL LLC located in Melville, New York.

Elisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Elisa has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Elisa Marie Caspare | Elisa Verna Caspare | Lisa Caspare | Verna Caspare | Elisa Verna

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) - RIA

Click below to view Elisa Verna-caspare'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

September 3, 2021 - Present

THE PINNACLE FINANCIAL GROUP

Office #1: 866 W Jericho Tpke, Huntington, NY 11743
RIA
CRD#: 164395
HUNTINGTON, NY
Current

June 6, 2017 - Present

LPL FINANCIAL LLC

Office #1: 445 Broadhollow Rd Ste 112, Melville, NY 11747
RIA
BD
CRD#: 6413
MELVILLE, NY
Past

May 23, 2013 - June 22, 2017

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
SYOSSET, NY
Past

May 22, 2013 - June 22, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SYOSSET, NY
Past

May 27, 2008 - May 16, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
FRANKLIN SQUARE, NY
Past

May 27, 2008 - May 16, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
FRANKLIN SQUARE, NY
Past

July 18, 2003 - May 27, 2008

IFMG SECURITIES, INC.

RIA
CRD#: 14416
ROCKY POINT, NY
Past

March 29, 2001 - May 27, 2008

IFMG SECURITIES, INC.

BD
CRD#: 14416
ROCKY POINT, NY
Past

June 1, 1999 - April 2, 2001

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

June 1, 1999 - April 2, 2001

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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
Florida
(6/6/2017)
RR
New York
(6/6/2017)
IAR
New York
(9/3/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/9/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/29/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/28/1999
Investment Company Products/Variable Contracts Representative Examination
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
Registered Investment Advisory firm - (11/9/2012 Approved)
PREMIUM
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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 (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (4/1/2025)
ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts5,538
AUM (Assets Under Management)$ 1,184,198,113

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.

Company Information

THE PINNACLE FINANCIAL GROUP

CRD#: 164395Huntington, NY 11743

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(xxx) xxx-xxxx
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