JZ
Janet C. Zane
PINNACLE INVESTMENTS
Auburn, NY
Some features on this profile are disabled
CRD#: 5751130
JZ
Professional summary
Janet Claire Zane, who also goes by Janet Claire Pendergraph, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Auburn, New York.
Janet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Janet has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Janet Claire Pendergraph
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.
SACRED HEART CHURCH AND ST ANNS MISSION/ NON INVESTMENT RELATE/ 90 MELROSE RD AUBURN, NY 13021/TITLE: FINANCE COUNSEL MEMBER/ START DATE: 08/2017/ 0 HRS DURING BUSINESS HRS/ .5 HRS AFTER BUSINESS HRS/DUTIES: ATTEND QUARTERLY FINANCE MEETINGS AND PROVIDE ADVICE ON FINANCIAL MATTERS ____________________________________________________________________________ PINNACLE EMPLOYEE SERVICES/NON INVESTMENT RELATED/ 507 PLUM STREET 3RD FL SYRACUSE, NY 13204/ TITLE: REPRESENTATIVE/START DATE: 01/2018/ 2-3 HRS DEVOTED DURING BUSINESS HRS/ 0 HRS DEVOTED AFTER BUSINESS HRS/DUTIES: REFERRAL FOR SERVICES; CLIENT COMMUNICATIONS ____________________________________________________________________________ The Catholic Community of Holy Family, Sacred Heart, St Alphonsus and St Ann's, Not investment related, 90 Melrose Rd, Auburn, NY 13021, Non Profit Church, Title: Parish Council Member Start Date 09/19/2022/ 0 hours during business hours / about 30 minutes per month
CRS (Client Relationship Summary) - RIA
Click below to view Janet Claire Zane's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Janet Claire Zane'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
April 12, 2021 - Present
PINNACLE INVESTMENTS, LLC
RIA
BD
CRD#: 142910
Auburn, NY
Current
September 6, 2011 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
East Syracuse, NY
Past
April 6, 2010 - August 24, 2011
MORGAN STANLEY
RIA
CRD#: 149777
SYRACUSE, NY
Past
March 9, 2010 - August 24, 2011
MORGAN STANLEY
BD
CRD#: 149777
SYRACUSE, 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".
PI
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)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
California(5/12/2023)
IAR
California(1/17/2025)
RR
Florida(12/18/2015)
IAR
Florida(4/19/2024)
RR
Maryland(10/7/2011)
RR
New York(9/6/2011)
IAR
New York(4/12/2021)
RR
Pennsylvania(9/15/2011)
IAR
Pennsylvania(11/14/2022)
RR
South Carolina(1/22/2019)
IAR
South Carolina(11/15/2022)
RR
Virginia(10/14/2020)
IAR
Virginia(11/10/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
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)BD
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
60
SEC notice filing (41 States and Territories)
FINRA licenses (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,860 |
| AUM (Assets Under Management) | $ 1,056,507,711 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 12/23/2024 | ||
| 03/27/2024 | ||
| 03/31/2023 |
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.
