Adam C. Desimone

PINNACLE INVESTMENTS

Great Meadows, NJ 07838

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CRD#: 5048830

Professional summary

Adam Colin Desimone, who also goes by Adam C Desimone, Adam Desimone, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Great Meadows, New Jersey.

Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Adam has worked at 14 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam C Desimone | Adam Desimone

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.

GREAT MEADOWS REGIONAL SCHOOL DISTRICT BOE POSITION: Board Member NATURE: School Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2021 ADDRESS: 273 US Highway 46, Great Meadows NJ 07838, United States DESCRIPTION: Meeting with Board Members and School Administrators to vote on school district policies. Position and nature: Medicare plan sales and service, Not investment related, Address: 38 Vassar Great Meadows, NJ 07838, Start Date 02/07/2023, 0 hours during trading, 8hours after business hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Colin Desimone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Adam Colin Desimone'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

April 7, 2022 - Present

PINNACLE INVESTMENTS, LLC

Office #1: 38 Vassar Rd, Great Meadows, NJ 07838

RIA

CRD#: 142910

Great Meadows, NJ

Current

April 7, 2022 - Present

PINNACLE INVESTMENTS, LLC

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

RIA

CRD#: 142910

East Syracuse, NY

Past

February 21, 2019 - April 6, 2022

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

MOUNT LAUREL, NJ

Past

February 19, 2019 - April 6, 2022

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

MOUNT LAUREL, NJ

Past

June 1, 2017 - December 12, 2017

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

PEQUANNOCK, NJ

Past

October 27, 2015 - November 4, 2016

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

NEW YORK, NY

Past

January 16, 2014 - November 12, 2015

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

ROCKVILLE, MD

Past

November 4, 2011 - January 29, 2014

INVESTMENT PLANNERS, INC.

CRD#: 18557

DECATUR, IL

Past

November 3, 2011 - February 27, 2013

IPI WEALTH MANAGEMENT, INC.

RIA

CRD#: 111872

LYNDHURST, NJ

Past

June 28, 2011 - November 4, 2011

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 107105

NEW YORK, NY

Past

June 28, 2011 - November 4, 2011

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

January 13, 2010 - June 22, 2011

HENNION & WALSH ASSET MANAGEMENT, INC.

RIA

CRD#: 126236

PARSIPPANY, NJ

Past

December 22, 2009 - June 22, 2011

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

Past

February 28, 2008 - May 5, 2008

J.P. MORGAN CLEARING CORP.

CRD#: 28432

BROOKLYN, NY

Past

January 18, 2008 - May 5, 2008

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

BROOKLYN, NY

Past

May 1, 2007 - May 5, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

BROOKLYN, NY

Past

January 9, 2006 - July 11, 2006

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, 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".

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

Florida
(4/7/2022)

IAR

Florida
(4/8/2022)

New Jersey
(4/7/2022)

IAR

New Jersey
(4/7/2022)

New York
(4/7/2022)

IAR

New York
(4/7/2022)

Pennsylvania
(4/7/2022)

IAR

Pennsylvania
(4/7/2022)

South Carolina
(2/1/2024)

IAR

South Carolina
(2/1/2024)

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: 5/17/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/26/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/12/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/30/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/21/2010

General Securities Principal 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)

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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.

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Advisor Monitoring

Firm Stability Insights

Adam C. Desimone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Colin Desimone's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Adam Colin Desimone's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE INVESTMENTS, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

ALLSTATE FINANCIAL SERVICES, LLC

TERRANOVA CAPITAL EQUITIES, INC

CEROS FINANCIAL SERVICES, INC.

INVESTMENT PLANNERS, INC.

IPI WEALTH MANAGEMENT, INC.

BLACKROCK FINANCIAL MANAGEMENT, INC

BLACKROCK INVESTMENTS, LLC

HENNION & WALSH ASSET MANAGEMENT, INC.

HENNION & WALSH, INC.

J.P. MORGAN CLEARING CORP.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MAXIM GROUP LLC

Primary Firm SEC Registration

PINNACLE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2017

Series 66

Date: 1/26/2006

SIE

Date: 12/12/2017

Series 7

Date: 12/30/2005

Series 24

Date: 7/21/2010

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

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