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Carol Jeanine Darby

Pinnacle Investments, LLC

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About Carol Jeanine Darby

Carol Darby is a financial advisor with Pinnacle Investments, LLC. Carol has been in the financial services industry since March 2002. Carol holds FINRA Series 7, 63, 31 and 99 licenses. Carol specializes in providing financial advice to individuals and corporations. Carol also offers educational workshops.

Firm Information

Carol Darby is currently registered with Pinnacle Investments, LLC. Pinnacle Investments, LLC is a Limited Liability Company formed in August 2006 with its main office in East Syracuse, NY. The firm provides financial planning, educational seminars, and portfolio management services for individuals and high-net-worth clients. They also offer selection of other advisors and operate a wrap fee program. Pinnacle Investments is registered with the SEC and in all 50 states. The firm manages over $1 billion in assets.
Pinnacle Investments, LLC

5845 WIDEWATERS PKWY

EAST SYRACUSE, NY 13057

$1.07B

Assets Under Management

Not reported

Total Clients

61

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Educational workshops

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Carol Darby’s Registration & Firm History

NY

04/12/2021 - Present

Pinnacle Investments, LLC (EAST SYRACUSE NY)

NY

04/02/2007 - 05/29/2009

MORGAN STANLEY & CO. INCORPORATED (SYRACUSE NY)

NY

02/12/2002 - 04/02/2007

MORGAN STANLEY DW INC. (SYRACUSE NY)

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Licenses & Designations

IA

Issued 05/13/2008

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/12/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/2007

Series 31 - Futures Managed Funds Examination

BC

Issued 02/11/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carol Jeanine Darby.
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