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Peter I. Shusterman

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CRD#: 1460819
PS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Peter Ivan Michael Shusterman was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1986. Peter had worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

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. Octavia Wealth Advisors, LLC; Yes; 7676 Hazard Center Drive Suite 1550 San Diego, CA 92108; RIA; IAR; 10/2023; 160; 130; Advising clients. 2. Fixed Insurance; Yes; 7676 Hazard Center Drive Suite 1550 San Diego, CA 92108; Fixed/traditional Insurance; Agent; 10/2023; 20; 20; Sales of fixed/traditional insurance products. 3. Grossmont Hospital Foundation; No; 5555 Grossmont Center Drive La Mesa, CA 91942; Board of Directors; Treasurer; 08/2018; 6; 0; Report monthly financial results of the foundation to the board (accounting done by employees of the foundation). 4. Rental Property; No; 2-36 Camino De Flores Avalon, CA 90704; Property Management; Owner; 08/1999; 2; 0; I have an outside property management company.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 17, 2023 - July 15, 2025

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Poway, CA
Past

October 19, 2023 - January 21, 2025

OCTAVIA WEALTH ADVISORS LLC

RIA
CRD#: 306909
San Diego, CA
Past

September 1, 2023 - October 20, 2023

OSAIC WEALTH, INC.

RIA
CRD#: 23131
SAN DIEGO, CA
Past

September 1, 2023 - October 20, 2023

OSAIC WEALTH, INC.

BD
CRD#: 23131
SAN DIEGO, CA
Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

RIA
CRD#: 133763
SAN DIEGO, CA
Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

BD
CRD#: 133763
SAN DIEGO, CA
Past

July 9, 1999 - October 31, 2005

SENTRA SECURITIES CORPORATION

RIA
CRD#: 10249
SAN DIEGO, CA
Past

July 2, 1999 - October 31, 2005

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

August 7, 1986 - July 7, 1999

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

February 5, 1986 - September 29, 1986

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/8/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/2/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 11/17/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/3/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/11/1987
General Securities Principal Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 35747

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