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80 State Street, Albany, NY 12207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-07-11 |
Branch Locations
415 N. Camden Dr., Beverley Hills, CA 90210 • United States
80 State Street, Albany, NY 12207 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 02/2014 | Present |
| Advanced Regulatory Compliance | Beverly Hills | CA | 10/2004 | Present |
1) ACA Group. Not Investment Related. 909 Rose Ave, Suite 950, N. Bethesda MD 20852. Compliance Consulting. Independent Compliance Consultant. Start 5/1/2023. 20-30 hours/mo during trading. Provide compliance consulting and help and research. 2) PKSA. Investment Related. 80 State Street, Albany, NY 12207. PKS Alternative Investments. Compliance Consultant. Start 7/2016. 3 Hrs/Mo; 3 Hrs During Trading Hours. Provide Compliance Services.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-09 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-24 |
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