Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Yen ling Chow is a financial advisor with Pinnacle Investments, LLC. Stephen has been in the financial industry since 1971 and has worked for several prominent firms including Citigroup Global Markets Inc. and Morgan Stanley Smith Barney. Stephen holds the Series 63, Series 65, Series 7, and Series 15 licenses and has been registered as a broker-dealer in several states including California, Florida, Georgia, New Jersey, New York, Pennsylvania, Texas, and Virginia. Stephen specializes in financial planning and portfolio management for individuals and businesses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Educational workshops
1
2
NY
01/24/2025 - Present
Pinnacle Investments, LLC (EAST SYRACUSE NY)
NY
06/01/2009 - 07/11/2012
MORGAN STANLEY SMITH BARNEY (SYRACUSE NY)
NY
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SYRACUSE NY)
NY
04/10/1984 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/18/1971 - 05/07/1984
PRUDENTIAL-BACHE SECURITIES INC.
NA
01/06/1977 - 09/16/1977
BACHE HALSEY STUART INC.
NA
10/20/1975 - 02/17/1977
REYNOLDS SECURITIES, INC.
NA
09/24/1971 - 08/22/1975
TRAVELERS EQUITIES SALES, INC.
IA
Issued 10/06/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/12/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 11/30/1984
Series 5 - Interest Rate Options Examination
BC
Issued 06/13/1977
PC - AMEX Put and Call Exam
BC
Issued 11/15/1975
Series 7 - General Securities Representative Examination
BC
Issued 09/18/1971
Series 000 - General Securities Principal Examination
BC
Issued 09/18/1971
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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