Chief Compliance Officer · Pinnacle Investments, LLC
John M. Ivan
CRD 1292150 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Pinnacle Investments, LLC, an SEC-registered broker-dealer firm based in East Syracuse, NY with $1.3 billion in regulatory assets, lists John M. Ivan on its Form ADV as Chief Compliance Officer. The SEC filings also name John at 1 other registered adviser.
Firms and roles
- Pinnacle Investments, LLCChief Compliance OfficerBroker-dealer firm · East Syracuse, NY · $1.3B in regulatory assets
- Higginbotham Retirement Advisors, Inc.Chief Compliance OfficerAsset manager · Houston, TX · $0M in regulatory assets
AtlasMembers
John’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
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Colleagues named on the same filings (8)
- Kenneth Ronald GeorgeFinop, Pinnacle Investments, LLC
- Eric Douglas KrouseCOO / Options Principal, Pinnacle Investments, LLC
- Benjamin R. QuiltyChief Executive Officer, Pinnacle Investments, LLC
- Anthony J. HaasAssistant Secretary, Higginbotham Retirement Advisors, Inc.
- Gayla B. GaudettePresident and Chief Investment Officer, Higginbotham Retirement Advisors, Inc.
3 more people named with John on the same filings, with titles and firms. Free in Atlas with a free account.
See all 8 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For John’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.