William A. Oloughlin
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.
William Arthur Oloughlin, who also goes by William A Oloughlin Jr, William Arthur Oloughlin Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 5, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2021 - July 22, 2022
PINNACLE INVESTMENTS, LLC
April 4, 2012 - July 22, 2022
PINNACLE INVESTMENTS, LLC
August 13, 2007 - January 30, 2012
SECURITIES AMERICA, INC.
March 21, 2005 - July 16, 2007
BROOKSTREET SECURITIES CORPORATION
September 4, 1998 - April 4, 2005
KEYBANC CAPITAL MARKETS INC.
November 30, 1994 - September 4, 1998
ESSEX CAPITAL MARKETS, INC.
July 31, 1993 - December 9, 1994
CITIGROUP GLOBAL MARKETS INC.
June 25, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
January 18, 1978 - June 25, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
June 24, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
December 10, 1968 - June 18, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 6/30/1977
AMEX Put and Call ExamSeries 1
Date: 12/6/1968
Registered Representative ExaminationCurrent 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.
