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Current Employers
Marshall + Sterling Wealth Advisors, Inc.

278 Mill Street Suite 301, Poughkeepsie, NY 12601 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-09-02
  • NY RA
    APPROVED
    Since 2021-09-02

Branch Locations

278 Mill Street Suite 301, Poughkeepsie, NY 12601 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Marshall & Sterling Wealth Advisors, Inc. Poughkeepsie NY 10/2013 Present
The Orvis Company Millbrook NY 11/2004 12/2016
  • 10/2013 → Present
    Marshall & Sterling Wealth Advisors, Inc.
    Poughkeepsie, NY
  • 11/2004 → 12/2016
    The Orvis Company
    Millbrook, NY
Other Businesses

Name: Insurance, Investment Related: No, Address: Same address, Nature: Business, Position: Agent, Title: Agent, Start Date: 12/23/2016, Number of Hours: Approximately 10 hours a month during market hours, Duties: Insurance Sales

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-12-16
  • S65 Uniform Investment Adviser Law Examination
    2013-12-16

View on SEC IAPD

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