Caroline F. Korn

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CRD#: 4367196

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.

Caroline Faye Korn, who also goes by Caroline Faye Goldman Mrs, was a registered financial professional .

Caroline is a previously registered financial professional and started their career in finance in 2003. Caroline had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Caroline Faye Goldman Mrs

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 23, 2014 - March 19, 2018

PINNACLE INVESTMENTS, LLC

CRD#: 142910

ROCHESTER, NY

Past

December 16, 2005 - March 26, 2014

BRIGHTON SECURITIES CORP.

CRD#: 3875

ROCHESTER, NY

Past

November 14, 2003 - December 21, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

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)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2013

General Securities Representative Examination

Current Firm

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)

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

SEC notice filing (41 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2024.09.30 PI-IA WRAP BROCHURE (5/30/2025)

2024.09.30 PI-IA FIRM BROCHURE (5/30/2025)

Direct owners and executive officers

Name	Position	CRD#
PINNACLE HOLDING CO, LLC	MANAGING MEMBER
GEORGE, KENNETH RONALD	FINOP	2643369
JACOBSEN, BRYAN K	CHIEF COMPLIANCE OFFICER	3055957
KROUSE, ERIC DOUGLAS	COO / OPTIONS PRINCIPAL	4338577
QUILTY, BENJAMIN RYAN	CHIEF EXECUTIVE OFFICER	5391743

Regulatory assets under management

Total Number of Accounts	2,860
AUM (Assets Under Management)	$ 1,056,507,711

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
12/23/2024	Cover Page	Report
03/27/2024	Cover Page	Report
03/31/2023	Cover Page	Report

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.

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Firm Stability Insights

Caroline F. Korn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BRIGHTON SECURITIES CORP.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

PINNACLE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/17/2004

SIE

Date: 3/19/2018

Series 7

Date: 3/4/2013

Current Firm

PINNACLE INVESTMENTS, LLC

Contact information

SEC notice filing (41 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PINNACLE INVESTMENTS, LLC

TRUST BUT VERIFY

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