EV
Elisa Verna-caspare
THE PINNACLE FINANCIAL GROUP
HUNTINGTON, NY 11743
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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.
1.06/06/2017 - THE PINNACLE FINANCIAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 95%/ HUNTINGTON, NY
2.06/06/2017 - ELISA VERNA-CASPARE/ NON-VARIABLE INSURANCE/ 5%/ HUNTINGTON, NY
3. 01/11/2018 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 05/15/2017 - 120 Hours Per Month / 6 Hours During Trading - 95% Time Spent - I provide investment advisory services through The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity on 1/11/2018. I expect to spend approximately 120 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.
4). 10/3/2018 - Elisa Verna Caspare Wealth Strategies, Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date:08/24/2018 - 120 Hours Per Month/120 Hours During Trading.
5). 11/19/2018 - MERZ - Invest Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 11/08/2018 - 10 hours/month - 10 hours during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Elisa Verna-caspare'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
September 3, 2021 - Present
THE PINNACLE FINANCIAL GROUP
Office #1: 866 W Jericho Tpke, Huntington, NY 11743RIA
CRD#: 164395
HUNTINGTON, NY
Current
June 6, 2017 - Present
LPL FINANCIAL LLC
Office #1: 445 Broadhollow Rd Ste 112, Melville, NY 11747RIA
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (11/9/2012 Approved)Upgrade to AdvisorCheck 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 (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#: 164395Huntington, NY 11743TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
