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278 Mill Street Suite 301, Poughkeepsie, NY 12601 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-09-02 |
Branch Locations
278 Mill Street Suite 301, Poughkeepsie, NY 12601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network/ Riverstone Wealth Management | Rhinebeck | NY | 02/2016 | 04/2020 |
| Lpl Financial Llc | Poughkeepsie | NY | 05/2020 | Present |
| Marshall & Sterling Wealth Advisors, Inc. | Poughkeepsie | NY | 05/2020 | Present |
1. 5/26/2020 - Marshall & Sterling Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 6/3/2020 - Marshall & Sterling Wealth Advisors, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 4/29/20 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Marshall & Sterling Wealth Advisors, Inc., an independent investment advisor firm. I started this business activity in 04/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 2/3/2021 - Marshall & Sterling Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 12/07/2020 - 20 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-02 |
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