Eric V. Retzlaff

PURSHE KAPLAN STERLING INVESTMENTS

ALBANY, NY 12207

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CRD#: 1163816

Professional summary

Eric Vann Retzlaff, who also goes by Eric Vann Retzlaff, Eric Retzlaff, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1987. Eric has worked at 11 firms and has passed the Series 63, Series 22TO, SIE, Series 7, Series 6, Series 22, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Vann Retzlaff | Eric Retzlaff

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Vann Retzlaff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 20, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207

CRD#: 35747

ALBANY, NY

Past

January 17, 2023 - October 4, 2023

MIT ASSOCIATES, LLC

CRD#: 121171

TIBURON, CA

Past

May 4, 2018 - December 31, 2022

CABOT LODGE SECURITIES LLC

CRD#: 159712

Dana Point, CA

Past

August 24, 2016 - May 8, 2018

SHOPOFF SECURITIES, INC.

CRD#: 142866

IRVINE, CA

Past

February 10, 2016 - August 22, 2016

MOLONEY SECURITIES CO., INC.

CRD#: 38535

Irvine, CA

Past

August 8, 2012 - June 12, 2014

ATEL SECURITIES CORPORATION

CRD#: 17229

SAN FRANCISCO, CA

Past

March 15, 2010 - July 25, 2011

LIGHTSTONE SECURITIES, LLC

CRD#: 132596

MAHWAH, NJ

Past

September 25, 2006 - June 22, 2009

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

August 8, 1995 - January 2, 2001

OCC DISTRIBUTORS LLC

CRD#: 18541

NEW YORK, NY

Past

April 3, 1991 - March 2, 1994

SWIFT ENERGY MARKETING COMPANY

CRD#: 17422

HOUSTON, TX

Past

September 14, 1987 - December 13, 1994

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/13/2024)

Alaska
(11/13/2024)

Arizona
(11/13/2024)

Arkansas
(11/13/2024)

California
(2/20/2024)

Colorado
(11/13/2024)

Connecticut
(11/13/2024)

Delaware
(11/13/2024)

District of Columbia
(11/13/2024)

Florida
(11/13/2024)

Georgia
(11/13/2024)

Hawaii
(11/13/2024)

Idaho
(11/13/2024)

Illinois
(2/20/2024)

Indiana
(11/13/2024)

Iowa
(11/13/2024)

Kansas
(11/13/2024)

Kentucky
(11/13/2024)

Louisiana
(11/13/2024)

Maine
(11/13/2024)

Maryland
(11/13/2024)

Massachusetts
(11/13/2024)

Michigan
(11/13/2024)

Minnesota
(11/13/2024)

Mississippi
(11/13/2024)

Missouri
(11/13/2024)

Montana
(11/13/2024)

Nebraska
(11/13/2024)

Nevada
(11/13/2024)

New Hampshire
(11/13/2024)

New Jersey
(11/13/2024)

New Mexico
(11/13/2024)

New York
(2/20/2024)

North Carolina
(11/13/2024)

North Dakota
(11/13/2024)

Ohio
(11/13/2024)

Oklahoma
(11/13/2024)

Oregon
(11/13/2024)

Pennsylvania
(11/13/2024)

Rhode Island
(11/13/2024)

South Carolina
(11/13/2024)

South Dakota
(11/13/2024)

Tennessee
(11/13/2024)

Texas
(11/13/2024)

Utah
(11/13/2024)

Vermont
(11/13/2024)

Virginia
(11/13/2024)

Washington
(11/13/2024)

West Virginia
(11/13/2024)

Wisconsin
(11/13/2024)

Wyoming
(11/13/2024)

Exams

State Security Law Exam

Series 63

Date: 9/29/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/22/2006

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 4/29/1991

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/13/2010

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/28/2006

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Eric V. Retzlaff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Vann Retzlaff's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIT ASSOCIATES, LLC

CABOT LODGE SECURITIES LLC

SHOPOFF SECURITIES, INC.

MOLONEY SECURITIES CO., INC.

ATEL SECURITIES CORPORATION

LIGHTSTONE SECURITIES, LLC

EQUITABLE DISTRIBUTORS, LLC

OCC DISTRIBUTORS LLC

SWIFT ENERGY MARKETING COMPANY

TRANSAMERICA CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/29/2006

Series 22TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/10/2010

Series 6

Date: 9/22/2006

Series 22

Date: 4/29/1991

Series 24

Date: 9/13/2010

Series 26

Date: 9/28/2006

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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