JB
John Buss
PINNACLE INVESTMENTS
Williamsville, NY 14221
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CRD#: 6069581
JB
Professional summary
John Buss, who also goes by John P Buss, John Patrick Buss, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Williamsville, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. John has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John P Buss | John Patrick Buss
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.
HISCOCK LEGAL AID SOCIETY POSITION: Member, Board of Directors NATURE: Legal Support Services INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2018 ADDRESS: 351 South Warren Street, Syracuse NY 13202, United States DESCRIPTION: Community Service; Community Outreach; Education; Monitor and provide checks and balances to the organization
CRS (Client Relationship Summary) - RIA
Click below to view John Buss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Buss'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
Office #1: 5500 Main Street Suite 205, Williamsville, NY 14221Office #2: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
Williamsville, NY
Current
January 10, 2020 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 5500 Main Street Suite 205, Williamsville, NY 14221Office #2: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
Williamsville, NY
Past
October 23, 2018 - January 7, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DEWITT, NY
Past
October 22, 2012 - October 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FAYETTEVILLE, NY
Past
September 10, 2012 - October 18, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FAYETTEVILLE, 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
Alaska(9/30/2022)
RR
California(12/8/2023)
RR
Colorado(7/7/2022)
RR
Connecticut(12/8/2023)
RR
Florida(12/8/2023)
IAR
Florida(12/11/2023)
RR
Hawaii(12/8/2023)
RR
Illinois(1/15/2025)
RR
Indiana(10/25/2023)
RR
Kentucky(12/8/2023)
RR
Maryland(1/15/2025)
RR
Massachusetts(1/17/2023)
IAR
Massachusetts(3/25/2025)
RR
Michigan(12/8/2023)
IAR
Michigan(12/12/2023)
RR
Missouri(8/11/2023)
RR
New Hampshire(1/15/2025)
RR
New Jersey(1/15/2025)
IAR
New Jersey(1/16/2025)
RR
New Mexico(11/4/2024)
RR
New York(1/10/2020)
IAR
New York(4/12/2021)
RR
North Carolina(12/8/2023)
IAR
North Carolina(12/12/2023)
RR
Pennsylvania(12/8/2023)
RR
South Carolina(1/10/2020)
RR
Tennessee(1/15/2025)
RR
Texas(9/30/2022)
IAR
Texas(9/30/2022)
RR
Vermont(5/26/2022)
IAR
Vermont(1/16/2025)
RR
Virginia(12/8/2023)
IAR
Virginia(1/30/2024)
RR
Washington(8/30/2022)
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.
Company Information
PINNACLE INVESTMENTS, LLC
CRD#: 142910Williamsville, NY 14221TRUST BUT VERIFY
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