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2725 Colonial Ave, Erie, PA 16506 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2021-02-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 06/2019 | Present |
| Hbks Wealth Advisors | Erie | PA | 06/2019 | Present |
| Widget Financial | Erie | PA | 01/2012 | 06/2019 |
| Hbk Sorce Insurance Llc | Canfield | OH | 06/2022 | Present |
HBKS Wealth Advisors - Investment Related - At registered location - RIA - Compliance Supervisor - 06/26/2020 - 160 hours a month - 160 trading hours a month - compliance duties Purshe Kaplan Sterling - Investment Related - At registered location - BD - Non-Producing Rep - 11/9/2020 - 0 hours a month - 0 trading hours a month - compliance duties HBK Sorce Insurance LLC - Investment Related - At registered location - RIA/BD - Compliance Supervisor - 2/2022 - 5 hours a month - 5 trading hours a month - compliance oversight of insurance program
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-01-29 |
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