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80 State Street, Albany, NY 12207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2023-07-10 |
Branch Locations
Chesterfield, VA • United States
80 State Street, Albany, NY 12207 • 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 |
|---|---|---|---|---|
| Massmutual | Bala Cynwyd | PA | 01/2016 | 08/2017 |
| Mml Investors Services | Bala Cynwyd | PA | 01/2016 | 08/2017 |
| Wells Fargo Clearing Services Llc | Behtlehem | PA | 08/2017 | 08/2022 |
| Purshe Kaplan Sterling Investments | Albany | NY | 11/2022 | Present |
| Pks Advisory Services, Llc | Albany | NY | 11/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-23 |
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