Pina Formicola

Independent Solutions Wealth Management, LLC

35 Years of Experience

1 DisclosureBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & CoachingRetirement PlanningEstate PlanningTax PlanningHigh Net Worth

Independent Solutions Wealth Management, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

24 advisors

Number of Clients

3,774 clients

Average Client Portfolio

$325K average

Assets Under Management

$1.2B

Fee Structure

Minimum Investment:$3K

Location

305 Spindrift Drive, Williamsville, NY, 14221

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History

Regulatory History (1)

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Employment Separation After Allegations

August 1992

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Other Business ActivitiesSells Insurance

Pina works as an investment advisor for ISWM and a registered representative for Peak Brokerage Services, dedicating about 10-20% of their time and a few hours per week, respectively. Pina is also an insurance agent with Top Advisors Group and involved with The Financial Guys for financial planning.

Employment History

Current Registrations

Independent Solutions Wealth Management, LLC

August 2024 - Present · 1 yr 6 mos

Peak Brokerage Services, LLCBroker

August 2024 - Present · 1 yr 6 mos

Previous Registrations

Osaic Wealth, INC.Broker

September 2023 - August 2024 · 11 mos

Osaic Wealth, INC.

September 2023 - August 2024 · 11 mos

Sagepoint Financial, INC.

April 2021 - September 2023 · 2 yrs 5 mos

Sagepoint Financial, INC.Broker

November 2020 - September 2023 · 2 yrs 10 mos

Sage, Rutty & CO., INC.Broker

February 2016 - November 2020 · 4 yrs 9 mos

Leigh Baldwin & CO., LLCBroker

June 2013 - February 2016 · 2 yrs 8 mos

Wall Street Financial Group, INC.Broker

July 2011 - June 2013 · 1 yr 11 mos

Ensemble Financial Services, INC.

March 2011 - August 2011 · 5 mos

Ensemble Financial Services, INC.Broker

January 2007 - August 2011 · 4 yrs 7 mos

Cambridge Investment Research, INC.Broker

April 2005 - January 2007 · 1 yr 9 mos

Linsco/private Ledger CORP.

January 2002 - April 2005 · 3 yrs 3 mos

Linsco/private Ledger CORP.Broker

July 1999 - April 2005 · 5 yrs 9 mos

M&t Securities, INC.Broker

May 1995 - July 1999 · 4 yrs 2 mos

Liberty Securities CorporationBroker

November 1993 - May 1995 · 1 yr 6 mos

Citicorp Financial Services,inc.Broker

January 1992 - June 1992 · 5 mos

Citicorp Investment ServicesBroker

January 1992 - September 1992 · 8 mos

R.B. Webster Investments, INC.Broker

August 1991 - January 1992 · 5 mos

Princeton Financial Group, INC.Broker

March 1989 - August 1991 · 2 yrs 5 mos

Power Securities CorporationBroker

September 1988 - February 1989 · 5 mos

State Registrations7 states

FLNCNJNMNVNYSC

AdvisorBrokerBoth

Exams

No exam information available for this advisor.