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278 Mill Street Suite 301, Poughkeepsie, NY 12601 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-06-03 |
Branch Locations
278 Mill Street Suite 301, Poughkeepsie, NY 12601 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-06-02 |
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