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KK

Kristopher A. Kelleher

Some features on this profile are disabled
CRD#: 4398633
KK

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.

Kristopher A Kelleher, who also goes by Kris A Kelleher, was a registered financial professional .

Kristopher is a previously registered financial professional and started their career in finance in 2018. Kristopher had worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kris A Kelleher

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

June 28, 2022 - April 24, 2026

PINNACLE INVESTMENTS, LLC

RIA
CRD#: 142910
South Bend, IN
Past

June 21, 2021 - April 24, 2026

PINNACLE INVESTMENTS, LLC

BD
CRD#: 142910
South Bend, IN
Past

February 20, 2018 - June 16, 2021

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
TAMPA, FL

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/11/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/27/2018
General Securities Principal Examination

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
PINNACLE HOLDING CO, LLCMANAGING MEMBER
GEORGE, KENNETH RONALDFINOP2643369
JACOBSEN, BRYAN KCHIEF COMPLIANCE OFFICER3055957
KROUSE, ERIC DOUGLASCOO / OPTIONS PRINCIPAL4338577
QUILTY, BENJAMIN RYANCHIEF EXECUTIVE OFFICER5391743

Regulatory assets under management

Total Number of Accounts2,860
AUM (Assets Under Management)$ 1,056,507,711

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

PINNACLE INVESTMENTS, LLC

CRD#: 142910

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