LM
Leonard F. Marzigliano
THE PINNACLE FINANCIAL GROUP
Rockville Centre, NY 11570
Some features on this profile are disabled
CRD#: 4746071
LM
Professional summary
Leonard Francis Marzigliano III is a registered financial advisor currently at THE PINNACLE FINANCIAL GROUP located in Rockville Centre, New York and LPL FINANCIAL LLC located in Rockville Centre, New York.
Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Leonard has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) 11/04/2022 - The Pinnacle Financial Group - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION(S) 2) 11/04/2022 - Real Estate Rental - 1) Leonard Marzigliano 50% owner with Lori Marzigliano 50% (Spouse) 2) 130 Alder Drive, Kings Park, NY 11754 - INV REL 3) 3/29/2023 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Advisor - 160 Hours Per Month - I provide investment advisory services through The Pinnacle Financial Group, an independent investment advisor firm. I started this business activity in 03/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Francis Marzigliano III'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
March 20, 2023 - Present
THE PINNACLE FINANCIAL GROUP
Office #1: 9 South Long Beach Road, Rockville Centre, NY 11570RIA
CRD#: 164395
Rockville Centre, NY
Current
January 18, 2023 - Present
LPL FINANCIAL LLC
Office #1: 9 S. Long Beach Rd., Rockville Centre, NY 11570RIA
BD
CRD#: 6413
Rockville Centre, NY
Past
January 18, 2023 - March 31, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
January 10, 2020 - January 24, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
HAUPPAUGE, NY
Past
December 3, 2009 - January 24, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
HAUPPAUGE, NY
Past
January 1, 2008 - October 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SMITHTOWN, NY
Past
February 19, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SMITHTOWN, 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".
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
Registered Investment Advisory firm - (11/9/2012 Approved)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.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
Florida(1/18/2023)
RR
Maryland(4/9/2025)
RR
New Jersey(1/18/2023)
RR
New York(1/18/2023)
IAR
New York(3/20/2023)
RR
North Carolina(1/24/2023)
RR
Pennsylvania(1/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
Registered Investment Advisory firm - (11/9/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9 South Long Beach Road, Rockville Centre, NY 11570
Mailing Address
Phone number
(516) 763-9700
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,538 |
| AUM (Assets Under Management) | $ 1,184,198,113 |
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.
