PD
Paul R. Dipietro
PINNACLE INVESTMENTS
Boca Raton, FL 33487
Some features on this profile are disabled
CRD#: 4313454
PD
Professional summary
Paul Robert Dipietro is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Boca Raton, Florida.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Paul has worked at 12 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 62 and Series 24 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.
TLFL Davie, LLC. - Non-Investment Related - 914 SW 7th St, Boca Raton, FL 33486 - LLC for the sole purpose of managing expenses for a rental property - Managing Member - Start Date 7/26/18 - 0 hours per month (management company was hired to manage the property) and 0 hours during market hours - Account to manage expenses for rental property. Robert Scott Financial / Sole Prop. Non-investment related. Set up to pay sales assistant and office expenses. 7601 NORTH FEDERAL HIGHWAYSUITE 125B BOCA RATON, FL 33487. 0 hours per month during trading hours. 4 hours per month during non trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Robert Dipietro's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Robert Dipietro'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
March 9, 2021 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 7601 North Federal Highway Suite 125b, Boca Raton, FL 33487RIA
BD
CRD#: 142910
Boca Raton, FL
Current
April 1, 2019 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 7601 North Federal Highway Suite 125b, Boca Raton, FL 33487RIA
BD
CRD#: 142910
Boca Raton, FL
Past
January 20, 2012 - August 13, 2015
DAWSON JAMES ASSET MANAGEMENT, INC.
RIA
CRD#: 135259
BOCA RATON, FL
Past
January 5, 2012 - April 8, 2019
DAWSON JAMES SECURITIES, INC.
BD
CRD#: 130645
BOCA RATON, FL
Past
March 16, 2010 - December 31, 2011
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
BOCA RATON, FL
Past
March 27, 2007 - December 31, 2011
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
BOCA RATON, FL
Past
April 22, 2005 - March 26, 2007
CHICAGO INVESTMENT GROUP, LLC
BD
CRD#: 11853
BOCA RATON, FL
Past
April 16, 2003 - April 20, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
April 2, 2003 - April 21, 2003
SHELMAN SECURITIES CORP.
BD
CRD#: 39795
DALLAS, TX
Past
March 10, 2003 - March 28, 2003
BROCKINGTON SECURITIES, INC.
BD
CRD#: 37438
RONKONKOMA, NY
Past
December 17, 2001 - March 5, 2003
KSH INVESTMENT GROUP, INC.
BD
CRD#: 41817
GREAT NECK, NY
Past
August 13, 2001 - December 13, 2001
HARRISON SECURITIES, INC.
BD
CRD#: 14103
PORT WASHINGTON, NY
Past
June 18, 2001 - July 26, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
January 2, 2001 - February 21, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
November 29, 2000 - January 2, 2001
GLOBAL CAPITAL MARKETS, LLC
BD
CRD#: 16191
MELVILLE, 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".
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
Arizona(4/1/2019)
RR
Arkansas(4/1/2019)
RR
California(4/2/2019)
RR
Connecticut(4/1/2019)
RR
Florida(4/8/2019)
IAR
Florida(3/9/2021)
RR
Georgia(4/30/2019)
RR
Idaho(4/1/2019)
RR
Illinois(7/12/2023)
RR
Iowa(4/1/2019)
RR
Louisiana(12/13/2024)
RR
Maine(6/27/2019)
RR
Maryland(4/8/2019)
RR
Michigan(4/1/2019)
RR
Minnesota(4/9/2019)
RR
Missouri(10/3/2024)
IAR
Missouri(10/3/2024)
RR
Nebraska(5/8/2020)
RR
New Jersey(4/1/2019)
RR
New York(4/1/2019)
RR
North Carolina(4/18/2019)
RR
Ohio(4/1/2019)
RR
Oklahoma(7/22/2024)
RR
Oregon(12/10/2024)
RR
Pennsylvania(4/1/2019)
RR
South Carolina(5/1/2019)
RR
Texas(3/21/2022)
RR
Virginia(4/1/2019)
RR
Washington(2/18/2022)
RR
Wisconsin(7/26/2022)
RR
Wyoming(5/13/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/28/2000
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory 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.
