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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-10-03
  • NY RA
    APPROVED
    Since 2024-10-03

Branch Locations

278 Mill St Ste 301, Poughkeepsie, NY 12601 • United States

Marshall + Sterling Wealth Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-27
  • NY RA
    APPROVED
    Since 2021-08-27

Branch Locations

407 Hurley Avenue, Kingston, NY 12401 • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 06/2017 → 10/2018
    Axa Advisors, Llc
    Woodbridge, NJ
  • 08/2018 → 02/2022
    Kitu Life, Inc.
    Kingston, NY
  • 09/2013 → 05/2018
    New Jersey Institute Of Technology
    Newark, NJ
  • 10/2018 → 03/2020
    Marshall & Sterling Wealth Advisors
    Poughkeepsie, NY
  • 11/2018 → Present
    Kingston, NY
  • 03/2020 → Present
    Marshall & Sterling Wealth Advisors, Inc.
    Kingston, NY
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-14
  • S66 Uniform Combined State Law Examination
    2017-11-14
Designations
Other Names
  • Jesse David Uttendorfer
  • Jesse David Uttendorfer
  • Jesse Uttendorfer

View on SEC IAPD

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