CK
Carly R. Kidd
PINNACLE INVESTMENTS
East Syracuse, NY 13057
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CRD#: 6981367
CK
Professional summary
Carly Romano Kidd, who also goes by Carly Kidd, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in East Syracuse, New York.
Carly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Carly has worked at 2 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carly Kidd
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.
Insurance Company of America - Global Motor Sports Association Not Investment related 5000-1901 Yong St, Toronto On M2N7E9, Canada Professional Race Car Insurance No Position or direct relationship, on a team with a member who receives referral fees that are paid to the team Start 09/01/2023 0 Hours spent on business ____________________________________________________ Gorsline Company Not Investment Related 2 Eagle Street, Rochester, NY 14608 Insurance Sales No direct position/relationship, member of a team where a team member pays a portion of referral fees to the team. Start 03/01/2023 0 hours spent on this activity ________________________________________________________ Bent Ear Technology, Is Not Investment Related, "5845 Widewaters Pkwy, Ste. 300, East Syracuse, NY, 13057, United States", IT Solutions, Referrer, 8/1/2024, 1 hours per month, 1 hours per month during trading hours, Commission Compensation, Refer business to Bent Ear Technology for a payout fee.
CRS (Client Relationship Summary) - RIA
Click below to view Carly Romano Kidd's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carly Romano Kidd'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
September 30, 2021 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
East Syracuse, NY
Current
January 4, 2022 - Present
PINNACLE INVESTMENTS, LLC
Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057RIA
BD
CRD#: 142910
East Syracuse, NY
Past
August 22, 2019 - August 18, 2020
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
August 20, 2019 - August 18, 2020
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
November 29, 2018 - August 8, 2019
PINNACLE INVESTMENTS, LLC
RIA
CRD#: 142910
NEW YORK, NY
Past
September 26, 2018 - August 8, 2019
PINNACLE INVESTMENTS, LLC
BD
CRD#: 142910
EAST 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
Arizona(1/15/2025)
RR
California(1/31/2023)
RR
Colorado(1/31/2023)
RR
Connecticut(1/15/2025)
IAR
Florida(1/6/2023)
RR
Florida(1/31/2023)
RR
Georgia(1/15/2025)
RR
Idaho(1/15/2025)
RR
Illinois(1/15/2025)
RR
Maine(1/15/2025)
RR
Maryland(1/15/2025)
RR
Massachusetts(1/15/2025)
RR
Minnesota(3/1/2024)
RR
Missouri(1/15/2025)
RR
New Hampshire(1/15/2025)
RR
New Jersey(2/9/2023)
IAR
New York(9/30/2021)
RR
New York(1/4/2022)
RR
North Carolina(1/15/2025)
RR
Ohio(1/17/2025)
RR
Oregon(1/15/2025)
RR
Pennsylvania(1/31/2023)
IAR
Pennsylvania(2/10/2023)
RR
South Carolina(1/31/2023)
RR
Tennessee(1/15/2025)
RR
Texas(1/15/2025)
RR
Utah(1/15/2025)
RR
Vermont(1/15/2025)
RR
Virginia(1/15/2025)
RR
Washington(1/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 11/16/2022
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 142910East Syracuse, NY 13057TRUST BUT VERIFY
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