Broker-Dealer Services

Pinnacle provides Independent Registered Reps with the Compliance and administrative support to successfully execute their business model and conduct securities transactions.

Support for our Registered Reps

and their Independent Companies

Pinnacle works closely with your team to ensure that you have support both on the mechanics of the securities transaction and the marketing efforts. We do this by ensuring that you are properly registered, a clear process for structuring your deal, an online platform to ensure that your securities raise is secure and careful inspection of marketing documents.

Our Management and Compliance team will work closely with you in all aspects of your business. Pinnacle is structured to ensure that you have direct access to the areas that you need support. You will have a Supervisory Principal (Series 24) who will oversee your activities, a Compliance Department focused on your due diligence and marketing, and a staff ensuring that your other needs are met.

Pinnacle has a compliance approved list of available contracts, disclosure statements, forms and other documents to support your business needs.

We are a boutique broker-dealer, but also part of a family of three Broker-Dealers. This includes an internal network of over 500 reps and an external network of other Broker-Dealers that are focused on specific niche areas. If you need additional Capital sources, we have a proprietary list of Investors and will create our own internal syndicate to help with your capital needs.

Pinnacle and its registered reps use secure email through Microsoft Office 365; an online document management system, project management and CRM platform for easy tracking of requests; a secure online platform for long term data management; and, a virtual data room.

Exams/Licensing

  • Series 7
  • Series 79
  • Series 82
  • Series 63
  • Series 24*

SUPPORT

Pinnacle helps you analyze which types of licenses you need and what each type of license will allow you to do. In addition, we will make sure you know what resources are available to assist you in the licensing process.

TESTING

Pinnacle will help you with applying for the Securities Industry Essentials (SIE) Exam. Once you have passed this exam we will work with you to register and open a window to test for the required specific license exams.

EXISTING

If you have existing licenses, we can work with you to register for any needed exams. We are also happy to work with people who need to re-register after taking some time off from the securities industry.

WE ARE INTERESTED IN WORKING WITH YOU

We are always interested in a discussion to determine if we can support your business model. We are currently looking for Registered Representatives that hold one of the following Licenses: Series 7, 79, 82 or 63. Pinnacle does require a U-4 review, a track record of business deals and current prospects.

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