Stephen Yen Ling Chow
Investment Adviser Representative at Pinnacle Investments, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Stephen Yen Ling Chow is an investment adviser representative with Pinnacle Investments, LLC in East Syracuse, NY, where they have been registered since 2016. They have worked in the securities industry since 1972 and have been registered with 8 firms, including Morgan Stanley Smith Barney and Citigroup Global Markets Inc. They have passed 9 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in 10 states.
Office
Advisors at this office: 29
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Florida, Georgia, Illinois, Minnesota, New Jersey, New York, North Carolina, Ohio, Texas
- Broker:
11 states and territories
California, Florida, Georgia, Illinois, Minnesota, New Jersey, New York, North Carolina, Ohio, Tennessee, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Pinnacle Investments, LLCMay 2013 – no end date reportedSyracuse, NY
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Pinnacle Investments, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Other
- Firm account minimum
- $10,000 (waivable)
- Estimated blended rate
- 0.03
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 57
- Offices listed on AdvisorFinder:
- 13
- Main office:
- East Syracuse, NY
- SEC file number:
- 801-67860
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 30, 2026
View full firm profileOther advisors at Pinnacle Investments, LLC
Showing 12 of 57 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephen Yen Ling Chow has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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