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Harold M. Rosen

PINNACLE PEAK CAPITAL MANAGEMENT
ARLINGTON HTS, IL
Some features on this profile are disabled
CRD#: 3268135
HR

Professional summary

Harold Mark Rosen is a registered financial advisor currently at PINNACLE PEAK CAPITAL MANAGEMENT LLC located in Arlington Hts, Illinois.

Harold is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Harold has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Harold Mark Rosen'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®
None

Experience

Current

April 12, 2001 - Present

PINNACLE PEAK CAPITAL MANAGEMENT LLC

RIA
CRD#: 123588
ARLINGTON HTS, IL
Past

March 21, 2000 - January 3, 2019

H.P. Becker & Co

RIA
CRD#: 107902
DEERFIELD, IL
Past

February 23, 2000 - November 13, 2001

LISS FINANCIAL SERVICES

BD
CRD#: 21950
MILWAUKEE, WI
Past

August 31, 1999 - December 10, 1999

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
WEST DES MOINES, IA

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.

Highlighted states indicate IAR registrations

IAR
Illinois
(4/12/2001)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/5/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/30/1999
General Securities Representative Examination

Current Firm

PP
PINNACLE PEAK CAPITAL MANAGEMENT LLC
PINNACLE PEAK CAPITAL MANAGEMENT LLC

CRD#: 123588 / SEC#:

Illinois
Registered Investment Advisory firm - (4/12/2001 Approved)
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Contact information

Main Address
Vernon Hills, IL
Mailing Address
Phone number
(847) 932-1912
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts3
AUM (Assets Under Management)$ 1,750,000

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

PINNACLE PEAK CAPITAL MANAGEMENT LLC

CRD#: 123588Arlington Hts, IL

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