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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 2026-06-03
  • NY RA
    APPROVED
    Since 2026-06-03

Branch Locations

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

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Darden Yonkers NY 03/2005 09/2019
Northwestern Mutual Life Insurance Company Milwaukee WI 09/2019 07/2021
Northwestern Mutual Investment Services, Llc Poughkeepsie NY 09/2020 07/2021
Be Big Be Brave Fishkill NY 04/2021 Present
Kevin M Caccomo Poughkeepsie NY 07/2021 11/2021
John Grana - State Farm Agent Carmel NY 11/2021 05/2022
Curitive Poughkeepsie NY 05/2022 11/2022
Lpl Poughkeepsie NY 11/2022 Present
  • 03/2005 → 09/2019
    Darden
    Yonkers, NY
  • 09/2019 → 07/2021
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 09/2020 → 07/2021
    Northwestern Mutual Investment Services, Llc
    Poughkeepsie, NY
  • 04/2021 → Present
    Be Big Be Brave
    Fishkill, NY
  • 07/2021 → 11/2021
    Kevin M Caccomo
    Poughkeepsie, NY
  • 11/2021 → 05/2022
    John Grana - State Farm Agent
    Carmel, NY
  • 05/2022 → 11/2022
    Curitive
    Poughkeepsie, NY
  • 11/2022 → Present
    Lpl
    Poughkeepsie, NY
Other Businesses

1) 11/05/2025 - Marshall & Sterling Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 11/05/2025 - Be Big Be Brave - Coach/Fitness/Sports/Referee - Non-Inv Rel - Hopewell Junction, NY - Start: 05/2020 - 12 Hr/Mth 3) 04/02/2026 - Marshall & Sterling Wealth Advisors - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - Start Date 11/07/2022 - 160 hours per month/ 8 hours during trading - I provide administrative support to Marshall & Sterling Wealth Advisors, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 160 hours per month on this activity. Please see the Form ADV for the advisory firm 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-06-02
  • S65 Uniform Investment Adviser Law Examination
    2026-06-02

View on SEC IAPD

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