Michael Scott Borgia
Professional Summary
Michael Scott Borgia is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)
Contact Information
Main Address
5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057Mailing Address
5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057Phone Number
(315) 251-1101Established
New York since 08/04/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
60SEC notice filing (43 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
3,143AUM (Assets Under Management)
$1,293,553,606Disclosures
Regulatory Event
4Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2026 | Cover Page | Report |
| 09/26/2025 | Cover Page | Report |
| 12/23/2024 | Cover Page | Report |
| 03/27/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PINNACLE INVESTMENTS, LLC | PINNACLE INVESTMENTS,LLC | PINNACLE INVESTMENTS, LLC (SUCCESSOR)
State Registrations and Notice Filings
(6/25/2019)
(4/3/2019)
(4/3/2019)
(6/10/2019)
(6/6/2019)
(10/14/2025)
(4/4/2019)
(4/3/2019)
(12/4/2024)
(7/12/2019)
(5/20/2019)
(3/3/2023)
(3/4/2020)
(4/3/2019)
(4/3/2019)
(3/6/2023)
(4/22/2019)
(9/29/2026)
(4/3/2019)
(8/1/2019)
(4/3/2019)
(6/8/2026)
(6/8/2021)
(5/13/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Borgia's CRS (Customer Relationship Summary).
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