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Joseph O'connor

Pinnacle Investments, LLC
43 Years of Experience
Syracuse, NY
1 DisclosureBroker
View SEC Summary
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Joseph O'connor is a registered investment advisor at Pinnacle Investments, LLC, based in Syracuse, NY, with 43 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Charitable Giving, Education Planning, and 7 more. Their firm serves 3,143 clients with $1.3B in assets under management.

Pinnacle Investments, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
57 advisors
Number of Clients
3,143 clients
Average Client Portfolio
$412K average
Assets Under Management
$1.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$100
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

The 3.00% annual rate is maximum and negotiable based on account size, investment complexity, use of sub-advisors, and level of service required. Minimum annual program fee is $100.00.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Syracuse, NY

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph works part-time as a cashier and stocks shelves at Sky Top Liquors, a liquor and wine store. This takes about 10-20% of his time and is not investment-related.

Employment History
Current Registrations
Pinnacle Investments, LLC
February 2021 - Present · 5 yrs 8 mos
Pinnacle Investments, LLC
December 2020 - Present · 5 yrs 10 mos
Pinnacle Investments, LLCBroker
December 2020 - Present · 5 yrs 10 mos
Previous Registrations
Edward Jones
April 2017 - December 2020 · 3 yrs 8 mos
Edward JonesBroker
April 2017 - December 2020 · 3 yrs 8 mos
Suntrust Advisory Services, INC.
September 2016 - April 2017 · 7 mos
Suntrust Investment Services, INC.
August 2015 - December 2016 · 1 yr 4 mos
Suntrust Investment Services, INC.Broker
August 2015 - April 2017 · 1 yr 8 mos
PNC Investments
December 2013 - August 2015 · 1 yr 8 mos
PNC InvestmentsBroker
November 2013 - August 2015 · 1 yr 9 mos
Leigh Baldwin & CO., LLCBroker
July 2009 - November 2013 · 4 yrs 4 mos
RBC Capital Markets Corporation
June 2005 - August 2009 · 4 yrs 2 mos
RBC Capital Markets CorporationBroker
November 2004 - August 2009 · 4 yrs 9 mos
Advest, INC.Broker
January 1997 - December 2004 · 7 yrs 11 mos
First Albany CorporationBroker
April 1990 - January 1997 · 6 yrs 9 mos
Shearson Lehman Hutton INC.Broker
October 1987 - May 1990 · 2 yrs 7 mos
E. F. Hutton & Company INCBroker
November 1983 - October 1987 · 3 yrs 11 mos
Flagship Securities, INC.Broker
May 1983 - September 1983 · 4 mos
State Registrations9 states
DCFLMAMDNJNVNYTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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