David L. Bailin

HAMILTON, NJ 08690

CRD#: 1835995

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Professional summary

David Lawrence Bailin, AIF® was a registered financial advisor .

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Lawrence Bailin'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 26, 2026 - Present

Office #1: 2277 Route 33 Suite 415, Hamilton, NJ 08690

HAMILTON, NJ

Current

May 26, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 2277 Route 33 Suite 415, Hamilton, NJ 08690

CRD#: 35747

Hamilton, NJ

Past

January 19, 2024 - May 28, 2026

OSAIC WEALTH, INC.

RIA

CRD#: 23131

Hobe Sound, FL

Past

January 19, 2024 - May 28, 2026

OSAIC WEALTH, INC.

CRD#: 23131

Hobe Sound, FL

Past

February 1, 2013 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

HAMILTON, NJ

Past

February 1, 2013 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

HAMILTON, NJ

Past

June 21, 2002 - February 6, 2013

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

HAMILTON SQUARE, NJ

Past

October 10, 1996 - February 6, 2013

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

HAMILTON SQUARE, NJ

Past

April 17, 1996 - September 25, 1996

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

May 27, 1988 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

May 27, 1988 - March 21, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(5/26/2026)

California
(5/26/2026)

Connecticut
(5/26/2026)

Florida
(5/26/2026)

Kentucky
(5/26/2026)

Louisiana
(5/26/2026)

Maine
(5/26/2026)

Maryland
(5/26/2026)

New Jersey
(5/26/2026)

IAR

New Jersey
(5/26/2026)

New York
(5/26/2026)

North Carolina
(5/28/2026)

Ohio
(5/26/2026)

Pennsylvania
(5/26/2026)

Tennessee
(5/26/2026)

Texas
(5/26/2026)

Vermont
(5/26/2026)

Virginia
(5/26/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/2/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/16/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/26/1997

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)

PREMIUM

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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

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.

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David L. Bailin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Lawrence Bailin's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/1997

Series 63

Date: 7/15/1988

SIE

Date: 10/1/2018

Series 7

Date: 7/2/2001

Series 6

Date: 5/16/1988

Series 26

Date: 2/26/1997

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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