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DR

Douglas Royce

PURSHE KAPLAN STERLING INVESTMENTS
New Rochelle, NY
Some features on this profile are disabled
CRD#: 1289114
DR
Douglas RoycePURSHE KAPLAN STERLING INVESTMENTS

Professional summary

Douglas Royce, who also goes by Douglas Adam Royce, Douglas Royce, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in New Rochelle, New York.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1984. Douglas has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Aliases

Douglas Adam Royce | Douglas Royce

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

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CRS (Client Relationship Summary) - BD

Click below to view Douglas Royce'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

July 14, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
New Rochelle, NY
Past

July 12, 2023 - June 29, 2026

SUMMIT FINANCIAL, LLC

RIA
CRD#: 299322
NEW ROCHELLE, NY
Past

August 26, 2021 - February 7, 2023

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
White Plains, NY
Past

September 10, 2019 - February 7, 2023

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
White Plains, NY
Past

March 9, 2017 - September 11, 2019

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
IRVINGTON, NY
Past

February 15, 2013 - January 29, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
STAMFORD, CT
Past

June 30, 1998 - October 26, 1998

M.S. FARRELL & COMPANY, INC.

BD
CRD#: 24232
SYOSSET, NY
Past

July 10, 1997 - December 1, 1997

DUKE & CO., INC.

BD
CRD#: 8035
NEW YORK, NY
Past

September 29, 1993 - September 23, 1996

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

November 4, 1992 - September 21, 1993

CARNES CAPITAL CORPORATION

BD
CRD#: 16187
NAPLES, FL
Past

June 10, 1991 - November 12, 1991

TD PRIME SERVICES LLC

BD
CRD#: 1914
NEW YORK, NY
Past

December 24, 1990 - December 2, 1991

REICH & CO., INC.

BD
CRD#: 19611
Past

September 20, 1989 - November 15, 1990

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

November 28, 1988 - January 3, 1989

ADLER COLEMAN & CO., INC.

BD
CRD#: 16104
NEW YORK, NY
Past

February 17, 1988 - December 9, 1988

BRODER & COMPANY INCORPORATED

BD
CRD#: 20018
Past

October 25, 1984 - January 19, 1988

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659

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
Connecticut
(7/14/2023)
RR
Florida
(7/14/2023)
RR
Massachusetts
(7/14/2023)
RR
New Jersey
(7/14/2023)
RR
New York
(7/14/2023)
RR
Pennsylvania
(7/14/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/11/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/2013
General Securities Representative Examination
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)
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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

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747New Rochelle, NY

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