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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-10-03 |
Branch Locations
278 Mill Street Suite 301, Poughkeepsie, NY 12601 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-27 |
Branch Locations
407 Hurley Avenue, Kingston, NY 12401 • United States
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 |
|---|---|---|---|---|
| Axa Advisors, Llc | Woodbridge | NJ | 06/2017 | 10/2018 |
| Kitu Life, Inc. | Kingston | NY | 08/2018 | 02/2022 |
| New Jersey Institute Of Technology | Newark | NJ | 09/2013 | 05/2018 |
| Marshall & Sterling Wealth Advisors | Poughkeepsie | NY | 10/2018 | 03/2020 |
| Lpl Financial, Llc | Kingston | NY | 11/2018 | Present |
| Marshall & Sterling Wealth Advisors, Inc. | Kingston | NY | 03/2020 | Present |
1. 11/1/2018 - MARSHALL & STERLING WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/24/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 11/6/2018 - Marshall & Sterling Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Licensed Admin. - Started 10/24/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Marshall & Sterling Wealth Advisors, an independent investment advisor firm. I started this business activity in 10/2018. 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. 11/19/2018 - Marshall & Sterling - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Relationship Manager/Insurance Agent - Started 11/02/2018 - 20 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-14 |
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