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105 Broadhollow Road, Melville, NY 11747 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Melville | NY | 10/2015 | 05/2019 |
| Axa Advisors, Llc | New York | NY | 05/2019 | 09/2019 |
| Molloy College | Rockville Centre | NY | 08/2014 | 12/2017 |
| Purshe Kaplan Sterling Investments, Inc. | Albany | NY | 10/2019 | Present |
| The Wealth Alliance, Llc | Melville | NY | 08/2019 | Present |
1) Shawn Klotsche is dually-registered as an investment Advisor Representative with The Wealth Alliance, LLC ("WA" - since 09/2019) and as a Registered Representative with Purshe Kaplan Sterling Investments, Inc. ("PKS" - since 10/2019). Business is conducted from 105 Broadhollow Road, Melville, NY 11747. Approximately 90% of Mr. Klotsche's time is for services as an Investment Advisor Representative with WA and the balance as a Registered Representative with PKS. WA and PKS are not affiliated. 2. IMA - Long Island Board of Directors. Not Investment Related. 10 Paragon Drive, Montvale, NJ 07645. Board of Directors. Board Member. 10.2023. 5 Hrs/Mo; 0 During Trading Hours. I will be assisting the board with decisions on various subjects.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-07-25 |
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