Kevin Szozda

PINNACLE INVESTMENTS

Auburn, NY 13021

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CRD#: 7419041

Professional summary

Kevin Szozda is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Auburn, New York.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Kevin has worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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.

MKT132 LLC Is Not Investment Related AUBURN, NY, 13021, United States", REAL ESTATE, MEMBER,3/8/2025, 4 hours per month,0 hours per month during trading hours, Other Compensation, MEMBER OWNER OF PREPERTY. WILL MAINTAIN AND COLLECT RENT IN FUTURE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Szozda's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kevin Szozda'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

November 29, 2021 - Present

PINNACLE INVESTMENTS, LLC

Office #1: 110 Genesee Street Ste 120, Auburn, NY 13021

RIA

CRD#: 142910

Auburn, NY

Current

October 12, 2021 - Present

PINNACLE INVESTMENTS, LLC

Office #1: 110 Genesee Street Ste 120, Auburn, NY 13021

RIA

CRD#: 142910

Auburn, 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

Alabama
(2/17/2023)

Arizona
(2/17/2023)

California
(2/17/2023)

IAR

California
(2/17/2023)

Colorado
(8/13/2025)

Connecticut
(3/7/2023)

Delaware
(9/22/2025)

District of Columbia
(11/26/2024)

IAR

District of Columbia
(4/10/2025)

Florida
(2/17/2023)

IAR

Florida
(2/20/2023)

Georgia
(2/17/2023)

IAR

Georgia
(2/21/2023)

Hawaii
(2/17/2023)

IAR

Hawaii
(12/13/2023)

Illinois
(10/24/2024)

Indiana
(1/25/2024)

Louisiana
(2/17/2023)

Maryland
(7/22/2025)

IAR

Maryland
(7/29/2025)

Massachusetts
(2/17/2023)

Michigan
(2/17/2023)

Nevada
(2/17/2023)

New Hampshire
(3/25/2025)

New Jersey
(2/17/2023)

New York
(11/29/2021)

IAR

New York
(11/29/2021)

North Carolina
(2/17/2023)

IAR

North Carolina
(2/17/2023)

North Dakota
(2/17/2023)

IAR

North Dakota
(12/19/2023)

Ohio
(2/17/2023)

IAR

Ohio
(2/17/2023)

Oregon
(2/17/2023)

Pennsylvania
(2/17/2023)

IAR

Pennsylvania
(2/17/2023)

South Carolina
(2/17/2023)

South Dakota
(2/17/2023)

Tennessee
(2/17/2023)

Texas
(2/17/2023)

Virginia
(2/17/2023)

Washington
(2/17/2023)

West Virginia
(2/17/2023)

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 66

Date: 11/22/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/12/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/30/2021

Securities Industry Essentials 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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Firm Stability Insights

Kevin Szozda

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Szozda's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kevin Szozda's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE INVESTMENTS, LLC

Primary Firm SEC Registration

PINNACLE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2021

Series 7TO

Date: 10/12/2021

SIE

Date: 8/30/2021

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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