NI
Nicholas Iocco
THE PINNACLE FINANCIAL GROUP
Rockville Centre, NY 11570
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CRD#: 723060
NI
Professional summary
Nicholas Iocco is a registered financial advisor currently at THE PINNACLE FINANCIAL GROUP located in Rockville Centre, New York and LPL FINANCIAL LLC located in Rockville Centre, New York.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Nicholas has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) 06/03/2008: No Business Name - Non-Variable Insurance DBA - NSI Group Inc. - INV REL - At Reported Business Location(s) - Life, health, DI, LTC, FA
(2) 09/17/2008: No Business Name - DBA for LPL Business (entity for LPL business) - NSI GROUP INC - INV REL - At Reported Business Location(s) - No Time Spent
(3) 07/12/2016: The Pinnacle Financial Group - Registered Investment Advisor Hybrid - (Hybrid) The Pinnacle Financial Group - INV REL - Start 07/15/2016 - 9 South Long Beach Road, Rockville Centre, NY 11570 - All IARs are securities registered with LPL. The RIA is a DBA of my LPL Business. The ADV 1 and 2 are on file with LPL - 160 Hr/Mo; 8 Hours During Securities Trading
(4) 07/12/2016: The Pinnacle Financial Group - Registered Investment Advisor DBA - (Hybrid) NSI Group - INV REL - Start 07/15/2016 - 9 south long beach road, Rockville centre, ny 11570 - IAR - 160 Hr/Mo; 8 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Iocco'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
August 27, 2021 - Present
THE PINNACLE FINANCIAL GROUP
Office #1: 9 South Long Beach Road, Rockville Centre, NY 11570RIA
CRD#: 164395
Rockville Centre, NY
Current
November 19, 1997 - Present
LPL FINANCIAL LLC
Office #1: 9 S. Long Beach Rd., Rockville Centre, NY 11570RIA
BD
CRD#: 6413
Rockville Centre, NY
Past
January 1, 1992 - December 17, 1997
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
March 7, 1983 - January 1, 1992
CHRIS SECURITIES INC.
BD
CRD#: 4453
Past
February 2, 1981 - December 27, 1982
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
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".
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
Registered Investment Advisory firm - (11/9/2012 Approved)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
Delaware(2/9/2016)
RR
Florida(11/19/1997)
RR
Massachusetts(6/4/2021)
RR
New Jersey(11/19/1997)
RR
New York(11/19/1997)
IAR
New York(8/27/2021)
RR
Pennsylvania(2/23/2021)
RR
South Carolina(5/9/2014)
RR
Virginia(2/23/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
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Contact information
Main Address
9 South Long Beach Road, Rockville Centre, NY 11570
Mailing Address
Phone number
(516) 763-9700
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,538 |
| AUM (Assets Under Management) | $ 1,184,198,113 |
Red Flags
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Company Information
THE PINNACLE FINANCIAL GROUP
CRD#: 164395Rockville Centre, NY 11570TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
