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