Please see my website for all information about myself and my firm.
General Information |
| Firm Start Year: | 1924 | |
| Name of Broker/Dealer: | Purshe Kaplan Sterling Investments |
| Name of Custodial Firm: | TD Ameritrade and Pershing Clearing Corp. |
| States Licensed in: | CA, CO, FL, GA, MA, MT, NH, NJ, NY, NC, PA, SC, TN, TX, UT, VA |
| Number of Years with Current Firm: | 2 |
| Work with the following types of clients: | Individual Investors, Non-Profit Organizations, Businesses |
Services |
| Investment Types: | Annuities, Alternative Investments, Exchange Traded Funds (ETFs), Stocks, Bonds, Insurance, Mutual Funds, 401k Plans, Socially Responsible Investments (SRI) |
| Can meet clients in the following ways: | Your Home, Our Office, Phone, Email, Your Office |
Qualifications & Memberships |
| Insurance and Annuity Licenses: | Life, Variable Life, Variable Annuity |
Compensation and Fees |
| Fee Structure: | Fee-Based |
| Minimum Portfolio Size for New Managed Accounts: | 50000 |
| Compensation Methods: | Based on Assets |
Disclosures |
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WiserAdvisor provides referrals to financial professionals. WiserAdvisor is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for WiserAdvisor to make these referrals, resulting in a conflict of interest. www.soleburygroup.com |
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Additional Detailed Disclosures |
Disclaimer |
| Securities offered through Purshe Kaplan Sterling Investments, Member FINRA/SIPC. Headquartered at 80 State Street, Albany, NY 12207. Purshe Kaplan Sterling Investments and the Firm are not affiliated companies. Investments through PKS or the Firm are: NOT FDIC INSURED, NOT BANK GUARANTEED, MAY LOSE VALUE, INCLUDING LOSS OF PRINCIPAL, NOT INSURED BY ANY STATE OR FEDERAL AGENCY. |
Registered Representative:
Yes
Investment Advisor Representative:
Yes
Acknowledged fiduciary:
Yes
Compliance Disclosures in Last 5 years:
Have a clean record
Criminal Disclosures in Last 5 years:
Have a clean record
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