Michael A. Ryan
MARSHALL & STERLING WEALTH ADVISORS
KINGSTON, NY 12401
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CRD#: 2255532
Professional summary
Michael Ambrose Ryan, CFP®, who also goes by Michael A Ryan, is a registered financial advisor currently at MARSHALL & STERLING WEALTH ADVISORS, INC. located in Kingston, New York and LPL FINANCIAL LLC located in Kingston, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Investment Planning
Business Succession Planning
Estate Planning
Long-term Care
Insurance Planning
Retirement Income Management
Retirement Planning
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
Michael A Ryan
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. 1/14/2016 - Marshall & Sterling Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/4/2016 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 40%.
2. 1/14/2016 - MARSHALL & STERLING, INC. - INVESTMENT-RELATED - At Reported Business Location(s) - Non-Variable Insurance - Started 01/01/2016 - 30 Hours Per Month/2 Hour During Securities Trading - Time Spent 30% - P&C, fixed annuity, fixed life, disability, health - SALE OF NON-VARIABLE INSURANCE.
3. 5/16/2018 - Marshall & Sterling Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 01/4/2016 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 60% - I provide investment advisory services through Marshall & Sterling Wealth Advisors, an independent investment advisor firm. I started this business activity in 01/2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
4. 10/28/2019 - No business name - Investment related - Falmouth MA 02540 - Real Estate Rental - start date:07/01/2017 - 10 hrs/mo - 0 hrs during trading - vacation rental.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ambrose Ryan'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®
CFP®
Start date: 1999
Experience
Current
January 16, 2017 - Present
MARSHALL & STERLING WEALTH ADVISORS, INC.
Office #1: 407 Hurley Avenue, Kingston, NY 12401RIA
CRD#: 164345
KINGSTON, NY
Current
January 14, 2016 - Present
LPL FINANCIAL LLC
Office #1: 407 Hurley Ave, Kingston, NY 12401-2429Office #2: 278 Mill St Ste 301, Poughkeepsie, NY 12601RIA
BD
CRD#: 6413
KINGSTON, NY
Past
September 3, 2013 - January 19, 2016
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
KINGSTON, NY
Past
June 17, 1996 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
KINGSTON, NY
Past
August 15, 1994 - June 25, 1996
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
October 8, 1992 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
M&
MARSHALL & STERLING WEALTH ADVISORS, INC.
MARSHALL & STERLING WEALTH ADVISORS, INC.
CRD#: 164345 / SEC#: 801-78688
RIA
Registered Investment Advisory firm - (11/1/2013 Approved)New York
Registered Investment Advisory firm - (11/12/2013 Terminated)Texas
Registered Investment Advisory firm - (11/12/2013 Terminated)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.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
California(1/14/2016)
RR
Colorado(1/14/2016)
RR
Connecticut(1/14/2016)
RR
Florida(1/14/2016)
RR
Georgia(1/14/2016)
RR
Maryland(9/27/2022)
RR
Massachusetts(1/14/2016)
RR
New Jersey(1/14/2016)
RR
New York(1/14/2016)
IAR
New York(8/27/2021)
RR
North Carolina(1/14/2016)
RR
Pennsylvania(1/14/2016)
RR
Rhode Island(1/14/2016)
RR
South Carolina(1/14/2016)
RR
Tennessee(1/11/2022)
RR
Vermont(9/11/2019)
RR
Virginia(10/22/2021)
RR
Wisconsin(4/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
M&
MARSHALL & STERLING WEALTH ADVISORS, INC.
MARSHALL & STERLING WEALTH ADVISORS, INC.
CRD#: 164345 / SEC#: 801-78688
RIA
Registered Investment Advisory firm - (11/1/2013 Approved)New York
Registered Investment Advisory firm - (11/12/2013 Terminated)Texas
Registered Investment Advisory firm - (11/12/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
278 Mill Street Suite 301, Poughkeepsie, NY 12601
Mailing Address
Phone number
(845) 554-1046
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,598 |
| AUM (Assets Under Management) | $ 995,832,115 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
