MM
Mark S. Mcpherson
PURSHE KAPLAN STERLING INVESTMENTS
Scottsdale, AZ
Some features on this profile are disabled
CRD#: 1229084
MM
Professional summary
Mark Stacy Mcpherson is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Scottsdale, Arizona.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1)IAR, GALLOWAY ASSET MGT LLC 1138 N. Alma School Rd. , Suite201, Mesa, AZ 85201 OFFICE ADDRESS: 8111 E. THOMAS RD SUITE 120 SCOTTSDALE AZ 85251 IAR FOR GALLOWAY ASSET MANAGEMENT LLC I DEVOTE 90% OF MY TIME WHICH IS ALSO DURING TRADING HOURS. MY DUTIES ARE TO MEET WITH POLICE OFFICERS, FIRE FIGHTERS AND THEIR SPOUSES TO LOOK AT THEIR FINANCIAL PLAN AND OPEN RIA ACCOUNTS WHERE GALLOWAY MANAGES THEIR MONEY. START DATE WAS 1/2006. 2. Buying and Selling Used Records. Not Investment Related. 8131 East Naseem Trail, Scottsdale, AZ 85258. Buying and Selling of Records Online and at Swap Meets. Owner. 12/2017. 20 Hrs/Mo; 0 During Trading Hours. Buy and Sell Used Records. 3)INDEPENDENT INSURANCE AGENT FOR Public Safety Financial Insurance. SELLING LIFE INSURANCE and Fixed Annuities LESS THAN 5% OF MY TIME IS SPENT DOING THIS. START DATE WAS February 2017. I EVALUATE THE NEED FOR LIFE INSURANCE AND FIXED ANNUITIES FOR CLIENTS UPON THEIR REQUEST AND PLACE BUSINESS THROUGH A LICENSED INSURANCE BROKER. 4) Fixed Annuities Sales through MCTLR-dba Public Safety Financial Insurance; Insurance Agent; Investment related: Yes; Location: 1138 N Alma School Rd STE 201 Mesa AZ 85201 USA; Description: Registered Investment Advisor and Insurance Agency; Responsibilities Duties: Sell fixed rate annuities to individual clients based upon need and suitability; Start date: 2024-07-03; Hours devoted to business during trading hours: 5; Hours devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 5. Contact person at the organization: Krystina Wanta; Website address for the organization: galloway911.com.
CRS (Client Relationship Summary) - BD
Click below to view Mark Stacy Mcpherson's 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®
NoneExperience
Current
September 17, 2014 - Present
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Scottsdale, AZ
Past
February 12, 2014 - August 1, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SCOTTSDALE, AZ
Past
July 7, 2008 - July 28, 2025
PUBLIC SAFETY FINANCIAL/GALLOWAY
RIA
CRD#: 141091
MESA, AZ
Past
June 26, 2008 - August 1, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SCOTTSDALE, AZ
Past
June 13, 2003 - June 27, 2008
CETERA ADVISORS LLC
RIA
CRD#: 10299
SCOTTSDALE, AZ
Past
June 13, 2003 - June 27, 2008
CETERA ADVISORS LLC
BD
CRD#: 10299
SCOTTSDALE, AZ
Past
November 13, 1989 - October 31, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
February 22, 1988 - October 15, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
January 25, 1984 - February 27, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arizona(10/14/2014)
RR
Colorado(9/15/2025)
RR
Georgia(9/11/2025)
RR
Illinois(9/12/2025)
RR
Maine(10/2/2014)
RR
New Mexico(4/2/2024)
RR
North Carolina(9/9/2025)
RR
Texas(9/12/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/15/1992
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.
CRD#: 35747 / SEC#: , 8-46844
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
