MB
Michael S. Borgia
PINNACLE INVESTMENTS
Boca Raton, FL 33487
Some features on this profile are disabled
CRD#: 4393648
MB
Professional summary
Michael Scott Borgia is a registered financial professional currently at PINNACLE INVESTMENTS, LLC located in Boca Raton, Florida.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Borgia'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
April 3, 2019 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 7601 North Federal Highway Suite 125b, Boca Raton, FL 33487RIA
BD
CRD#: 142910
Boca Raton, FL
Past
December 17, 2012 - April 8, 2019
DAWSON JAMES SECURITIES, INC.
BD
CRD#: 130645
BOCA RATON, FL
Past
December 12, 2008 - March 18, 2009
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
MELVILLE, NY
Past
April 8, 2003 - December 23, 2008
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
LINDENHURST, NY
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
July 23, 2002 - July 29, 2002
HARRISON SECURITIES, INC.
BD
CRD#: 14103
PORT WASHINGTON, NY
Past
January 11, 2002 - February 19, 2003
KSH INVESTMENT GROUP, INC.
BD
CRD#: 41817
GREAT NECK, NY
Past
June 21, 2001 - December 21, 2001
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, 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.
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(6/25/2019)
RR
Arkansas(4/3/2019)
RR
California(4/3/2019)
RR
Connecticut(6/10/2019)
RR
Florida(6/6/2019)
RR
Georgia(10/14/2025)
RR
Idaho(4/4/2019)
RR
Iowa(4/3/2019)
RR
Louisiana(12/4/2024)
RR
Maine(7/12/2019)
RR
Minnesota(5/20/2019)
RR
Montana(3/3/2023)
RR
Nebraska(3/4/2020)
RR
New Jersey(4/3/2019)
RR
New York(4/3/2019)
RR
North Dakota(3/6/2023)
RR
Ohio(4/22/2019)
RR
Pennsylvania(4/3/2019)
RR
South Carolina(8/1/2019)
RR
Texas(4/3/2019)
RR
Virginia(6/8/2021)
RR
Wyoming(5/13/2019)
Exams
State Security Law 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.
