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80 State Street, Albany, NY 12207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-21 |
| PA | RA | APPROVED | 2019-07-31 |
Branch Locations
80 State Street, Albany, NY 12207 • United States
535 M. Church Street Suite 206, West Chester, PA 19380 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | West Conshohocken | PA | 09/2004 | 07/2019 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 07/2019 | Present |
| Purshe Kaplan Sterling Advisory | Albany | NY | 07/2019 | Present |
1) Fixed Insurance. Non-investment related. 535 N. Church Street, Suite 206, West Chester PA 19380. Insurance, Insurance Agent. Start 7/2019. 20hrs/mo, all during trading hours. Provide fixed insurance advice to clients 2) PKSA. Investment Related. 535 N. Church Street, Suite 206, West Chester PA 19380. RIA, IAR. Start 7/2019. 160hrs/mo, all during trading hours. Provide investment advice to clients.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-05 |
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