Stephen Y. Chow

PINNACLE INVESTMENTS

East Syracuse, NY 13057

Some features on this profile are disabled

CRD#: 46135

Professional summary

Stephen Yen Ling Chow, who also goes by Stephen Yen Chow, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in East Syracuse, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Stephen has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, PC, Series 7, Series 000 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Yen Chow

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.

Update Medical University Foundation, Is Not Investment Related, "None, , Syracuse, NY, 13057, United States", University foundation, Board Of Directors Member,5/3/2013,1 hours per month,0 hours per month during trading hours, No Compensation Compensation, Board duties

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Yen Ling Chow's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Stephen Yen Ling Chow'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

October 7, 2016 - Present

PINNACLE INVESTMENTS, LLC

Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057

RIA

CRD#: 142910

East Syracuse, NY

Current

May 6, 2013 - Present

PINNACLE INVESTMENTS, LLC

Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057

RIA

CRD#: 142910

East Syracuse, NY

Past

June 1, 2009 - July 11, 2012

MORGAN STANLEY

CRD#: 149777

SYRACUSE, NY

Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SYRACUSE, NY

Past

April 10, 1984 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 6, 1977 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

October 20, 1975 - February 17, 1977

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

September 24, 1971 - August 22, 1975

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

September 18, 1971 - May 7, 1984

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(7/16/2013)

IAR

California
(1/23/2025)

Florida
(7/16/2013)

IAR

Florida
(10/7/2016)

Georgia
(2/14/2024)

IAR

Georgia
(2/14/2024)

IAR

Minnesota
(1/23/2025)

Minnesota
(1/24/2025)

New Jersey
(7/19/2013)

IAR

New Jersey
(1/23/2025)

New York
(6/4/2013)

IAR

New York
(4/12/2021)

IAR

North Carolina
(1/24/2025)

North Carolina
(1/27/2025)

Ohio
(2/3/2025)

IAR

Ohio
(2/3/2025)

Tennessee
(1/24/2025)

Texas
(10/27/2020)

IAR

Texas
(1/24/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/6/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/12/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 11/30/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 11/30/1984

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 6/13/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 11/15/1975

General Securities Representative Examination

General Industry/Product Exam

Series 000

Date: 9/18/1971

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 9/18/1971

Registered Representative Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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

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.

Similar Advisors

Roman Auerbach

EQUITABLE ADVISORS, LLC

Syracuse, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen Y. Chow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Yen Ling Chow's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen Yen Ling Chow's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE INVESTMENTS, LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

BACHE HALSEY STUART INC.

REYNOLDS SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

PINNACLE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/2016

Series 63

Date: 6/12/1984

SIE

Date: 10/1/2018

Series 15

Date: 11/30/1984

Series 5

Date: 11/30/1984

PC

Date: 6/13/1977

Series 7

Date: 11/15/1975

Series 000

Date: 9/18/1971

Series 1

Date: 9/18/1971

FINRA

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

Similar Advisors