Roland L. Ouimet

PINNACLE INVESTMENTS

BEVERLY, MA

Some features on this profile are disabled

CRD#: 831927

Professional summary

Roland Lucien Ouimet JR, who also goes by Rollie Ouimet Jr, is a registered financial advisor currently at PINNACLE INVESTMENTS, LLC located in Beverly, Massachusetts.

Roland is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Roland has worked at 11 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rollie Ouimet Jr

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 BEGUN 2002 1-2 HRS PER MTH & 0 HRS TRADING. INSURANCE SALES - 1 HOUR PER MONTH & 0 HRS TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roland Lucien Ouimet JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Roland Lucien Ouimet JR'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

January 14, 2021 - Present

PINNACLE INVESTMENTS, LLC

RIA

CRD#: 142910

BEVERLY, MA

Current

June 27, 2019 - Present

PINNACLE INVESTMENTS, LLC

Office #1: 5845 Widewaters Pkwy Ste 300, East Syracuse, NY 13057

RIA

CRD#: 142910

East Syracuse, NY

Past

February 19, 2003 - December 31, 2019

GLOBAL INVESTMENT ADVISORS, LLC

RIA

CRD#: 121442

BEVERLY, MA

Past

May 21, 2002 - July 10, 2019

ESSEX SECURITIES LLC

CRD#: 46605

Beverly, MA

Past

July 22, 1999 - May 17, 2002

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

May 3, 1999 - August 5, 1999

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

June 18, 1997 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

August 30, 1995 - June 12, 1997

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

February 15, 1989 - August 25, 1995

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 15, 1989 - August 25, 1995

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

August 12, 1987 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Past

August 12, 1987 - February 4, 1989

MML INVESTORS SERVICES, LLC

CRD#: 10409

Past

January 3, 1977 - September 11, 1987

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

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

Arizona
(1/21/2025)

California
(1/21/2025)

Florida
(1/21/2025)

Massachusetts
(6/27/2019)

IAR

Massachusetts
(1/14/2021)

Missouri
(1/21/2025)

New Hampshire
(3/27/2024)

Rhode Island
(1/21/2025)

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

Series 63

Date: 5/4/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 12/15/1976

Registered Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roland L. Ouimet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roland Lucien Ouimet JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Roland Lucien Ouimet JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE INVESTMENTS, LLC

GLOBAL INVESTMENT ADVISORS, LLC

ESSEX SECURITIES LLC

INVESTORS CAPITAL CORP.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

INVESTORS CAPITAL CORP.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

MML INVESTORS SERVICES, LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

PINNACLE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/1983

Series 22TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 12/15/1976

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

Similar Advisors