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BC

Brian L. Clark

Some features on this profile are disabled
CRD#: 4802438
BC

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.

Brian Lesley Clark, who also goes by Brian L Clark, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2004. Brian had worked at 5 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, Series 82TO, SIE, Series 3, Series 7, Series 39, Series 26, Series 14, Series 24 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian L Clark

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

January 3, 2014 - June 22, 2020

PINNACLE CAPITAL SECURITIES, LLC

BD
CRD#: 106213
St. Louis, MO
Past

April 1, 2009 - December 31, 2025

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
St. Louis, MO
Past

December 2, 2008 - December 10, 2008

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
ST LOUIS, MO
Past

January 28, 2008 - October 29, 2009

CORNERSTONE SELECT ADVISORS, LLC

RIA
CRD#: 144044
ST. LOUIS, MO
Past

September 18, 2007 - December 31, 2025

SAXONY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 122692
SAINT LOUIS, MO
Past

September 9, 2004 - December 31, 2023

SAXONY SECURITIES, INC.

BD
CRD#: 115547
ST. LOUIS, MO

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
Series 63
Date: 12/4/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/17/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/1/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 1/2/2023
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/2/2023
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 9/8/2004
Introducing Broker/Dealer Financial Operations Principal Examination

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 (15 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
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#: 106213

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