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RS

Robert T. Smith

PINNACLE CAPITAL SECURITIES
Long Beach, CA 90803
Some features on this profile are disabled
CRD#: 4490153
RS

Professional summary

Robert Thomas Smith is a registered financial professional currently at PINNACLE CAPITAL SECURITIES, LLC located in Long Beach, California.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Thomas Smith's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 1, 2021 - Present

PINNACLE CAPITAL SECURITIES, LLC

Office #1: 4105 E Broadway Suite 102, Long Beach, CA 90803
BD
CRD#: 106213
Long Beach, CA
Past

January 15, 2016 - May 29, 2018

HAMILTON GRANT LLC

BD
CRD#: 166180
Los Angeles, CA
Past

July 20, 2011 - November 26, 2021

AARON CAPITAL INCORPORATED

BD
CRD#: 28583
Columbus, GA
Past

November 11, 2009 - July 19, 2011

XNERGY FINANCIAL LLC

BD
CRD#: 144436
LOS ANGELES, CA
Past

July 16, 2007 - September 21, 2009

MOSAIC CAPITAL SECURITIES, LLC

BD
CRD#: 106637
SHERMAN OAKS, CA

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
California
(11/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/28/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PINNACLE CAPITAL SECURITIES, LLC
PINNACLE CAPITAL GROUP | PINNACLE EQUITY MANAGEMENT, LLC | PINNACLE EQUITY MANAGEMENT, INC. | PINNACLE EQUITY MANAGEMENT INC | PINNACLE CAPITAL SECURITIES, LLC

CRD#: 106213 / SEC#: 801-40956, 8-65263

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
4105 E Broadway Suite 102, Long Beach, CA 90803
Mailing Address
4105 E Broadway Suite 102, Long Beach, CA 90803
Phone number
(310) 684-2699
Established
Missouri since 02/17/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

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 / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
PINNACLE CAPITAL HOLDING, LLCSHAREHOLDER
CARTER, ANA RCFO & FINOP4424794
DAVIS, WILLIAM EUGENE IIICEO & CCO3188964
PARKER, JOEL MICHAELCHIEF OPERATING OFFICER6190668
SMITH, ROBERT THOMASREGISTERED PRINCIPAL4490153
VICINI, DAVID MICHAELCHIEF INVESTMENT OFFICER6429200

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 CAPITAL SECURITIES, LLC

CRD#: 106213Long Beach, CA 90803

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