BB
Bridget R. Ball
PINNACLE INVESTMENTS
Albany, NY 12205
Some features on this profile are disabled
CRD#: 4285536
BB
Professional summary
Bridget Rose Ball, who also goes by Bridget R Ball, Bridget Ball Shaw, Bridget Ball Shaw, Bridget Shaw, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Albany, New York.
Bridget is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Bridget has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bridget R Ball | Bridget Ball Shaw | Bridget Ball Shaw | Bridget Shaw
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.
Pinnacle Holding Company, LLC", Is Not Investment Related, "5845 Widewaters Pkwy , East Syracuse, NY, 13057, United States", Board Member,1/2/2025,5 hours per month,5 hours per month during trading hours, Commission Compensation,"$500 per meeting, the frequency being two or more times per calendar year. Function as a member of the board to aid with decision making and company direction.
CRS (Client Relationship Summary) - RIA
Click below to view Bridget Rose Ball's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bridget Rose Ball'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
August 25, 2016 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 125 Wolf Road Suite 406, Albany, NY 12205RIA
BD
CRD#: 142910
Albany, NY
Current
February 4, 2011 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 125 Wolf Road Suite 406, Albany, NY 12205RIA
BD
CRD#: 142910
Albany, NY
Past
June 1, 2009 - February 23, 2011
MORGAN STANLEY
BD
CRD#: 149777
ALBANY, NY
Past
May 31, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ALBANY, NY
Past
January 30, 2001 - June 5, 2001
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
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".
PI
PINNACLE INVESTMENTS, LLC
PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)
CRD#: 142910 / SEC#: 801-67860, 8-67515
RIA
Registered Investment Advisory firm - SEC (5/18/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (9/12/2018 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/2/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
Alabama(12/21/2011)
RR
California(1/21/2025)
IAR
California(1/21/2025)
RR
Colorado(1/21/2025)
IAR
Colorado(1/22/2025)
RR
Connecticut(12/21/2011)
IAR
Connecticut(8/25/2016)
RR
District of Columbia(1/21/2025)
RR
Florida(12/21/2011)
IAR
Florida(1/22/2025)
RR
Georgia(6/15/2012)
IAR
Georgia(1/22/2025)
RR
Illinois(9/1/2015)
IAR
Illinois(1/22/2025)
RR
Maryland(12/21/2011)
RR
Massachusetts(12/21/2011)
RR
Michigan(9/20/2013)
IAR
Michigan(1/23/2025)
RR
Montana(5/19/2021)
RR
New Hampshire(1/21/2025)
RR
New Jersey(12/21/2011)
IAR
New Jersey(1/21/2025)
RR
New York(2/4/2011)
IAR
New York(4/12/2021)
RR
North Carolina(2/10/2021)
IAR
North Carolina(1/21/2025)
RR
Pennsylvania(9/20/2013)
IAR
Pennsylvania(1/22/2025)
RR
South Carolina(1/21/2025)
RR
Texas(6/27/2023)
IAR
Texas(6/27/2023)
RR
Vermont(9/20/2013)
IAR
Vermont(1/21/2025)
RR
Virginia(9/20/2013)
IAR
Virginia(1/22/2025)
RR
Washington(1/21/2025)
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
PI
PINNACLE INVESTMENTS, LLC
PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)
CRD#: 142910 / SEC#: 801-67860, 8-67515
RIA
Registered Investment Advisory firm - SEC (5/18/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (9/12/2018 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/2/2019 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057
Mailing Address
5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057
Phone number
(315) 251-1101
Established
New York since 08/04/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
60
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.
