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278 Mill Street Suite 301, Poughkeepsie, NY 12601 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-05-01 |
Branch Locations
278 Mill Street Suite 301, Poughkeepsie, NY 12601 • 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 |
|---|---|---|---|---|
| Allianz Global Investors Distributors Llc | New York | NY | 05/2010 | 01/2017 |
| Allianz Global Investors U.S. Llc | New York | NY | 01/2017 | 09/2020 |
| Unemployed | New York | NY | 09/2020 | 08/2021 |
| Virtus Investment Partners | New York | NY | 08/2021 | 03/2026 |
| Lpl Financial | Poughkeepsie | NY | 04/2026 | Present |
| Marshall + Sterling Wealth Advisors, Inc. | Poughkeepsie | NY | 03/2026 | Present |
1) 2026-04-08 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Marshall & Sterling Wealth Management - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2026-04-02 - 160hrs/mth - 160hrs/mth during trading 2) 2026-05-05 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - (Hybrid) MARSHALL & STERLING WEALTH ADVISORS, INC - Registered Investment Advisor Hybrid - Y - at reported business location(s) - 2026-04-02 - 160hrs/mth - 160hrs/mth during trading 3) 2026-05-05 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - (Hybrid) Marshall & Sterling Wealth Advisors - Registered Investment Advisor DBA - Y - at reported business location(s) - 2026-04-02 - 160hrs/mth - 160hrs/mth during trading - Retirement Plan Specialist
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-11-19 |
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