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SS

Shaun B. Sterling

THE PINNACLE FINANCIAL GROUP
MELVILLE, NY 11747
Some features on this profile are disabled
CRD#: 4101229
SS

Professional summary

Shaun B Sterling, AIF®, who also goes by Shaun Bradford Sterling, is a registered financial advisor currently at THE PINNACLE FINANCIAL GROUP located in Melville, New York and LPL FINANCIAL LLC located in Melville, New York.

Shaun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Shaun has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Shaun Bradford Sterling

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 Shaun B Sterling'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

August 23, 2021 - Present

THE PINNACLE FINANCIAL GROUP

Office #1: 175 Broad Hollow Rd Ste 160, Melville, NY 11747
RIA
CRD#: 164395
MELVILLE, NY
Current

October 28, 2020 - Present

LPL FINANCIAL LLC

Office #1: 175 Broad Hollow Rd Ste 160, Melville, NY 11747
RIA
BD
CRD#: 6413
Melville, NY
Past

March 9, 2015 - November 2, 2020

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
E. SETAUKET, NY
Past

December 15, 2014 - November 2, 2020

NYLIFE SECURITIES LLC

BD
CRD#: 5167
E. SETAUKET, NY
Past

August 27, 2012 - November 22, 2013

P.J. ROBB VARIABLE, LLC

BD
CRD#: 38339
MEMPHIS, TN
Past

March 4, 2011 - August 14, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SOUTHOLD, NY
Past

February 5, 2001 - October 12, 2001

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY

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
Maryland
(8/25/2023)
RR
New York
(10/28/2020)
IAR
New York
(8/23/2021)
RR
Rhode Island
(10/9/2025)
RR
Utah
(11/30/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/5/2011
Uniform Combined 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: 3/3/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 25
Date: 7/9/2001
NYSE Trading Assistant 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#: 164395Melville, NY 11747

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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