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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Ambrose Ryan'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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

January 16, 2017 - Present

MARSHALL + STERLING WEALTH ADVISORS, INC.

Office #1: 407 Hurley Avenue, Kingston, NY 12401

RIA

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 12601

RIA

CRD#: 6413

KINGSTON, NY

Past

September 3, 2013 - January 19, 2016

CETERA WEALTH SERVICES, LLC

CRD#: 13572

KINGSTON, NY

Past

June 17, 1996 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

CRD#: 833

KINGSTON, NY

Past

August 15, 1994 - June 25, 1996

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

October 8, 1992 - August 15, 1994

TOWER SQUARE SECURITIES, INC.

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. | 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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(1/14/2016)

Colorado
(1/14/2016)

Connecticut
(1/14/2016)

Florida
(1/14/2016)

Georgia
(1/14/2016)

Maryland
(9/27/2022)

Massachusetts
(1/14/2016)

New Jersey
(1/14/2016)

New York
(1/14/2016)

IAR

New York
(8/27/2021)

North Carolina
(1/14/2016)

Pennsylvania
(1/14/2016)

Rhode Island
(1/14/2016)

South Carolina
(1/14/2016)

Tennessee
(1/11/2022)

Vermont
(9/11/2019)

Virginia
(10/22/2021)

Wisconsin
(4/15/2022)

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: 7/10/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/1992

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: 10/9/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

M+

MARSHALL + STERLING WEALTH ADVISORS, INC.

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)

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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

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (4/2/2025)

Regulatory assets under management

Total Number of Accounts	1,598
AUM (Assets Under Management)	$ 995,832,115

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael A. Ryan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Ambrose Ryan's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

ADVANTAGE CAPITAL CORPORATION

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

MARSHALL + STERLING WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/2002

Series 63

Date: 9/17/1992

SIE

Date: 10/1/2018

Series 7

Date: 10/9/2003

Series 6

Date: 10/3/1992

FINRA

Current Firm

MARSHALL + STERLING WEALTH ADVISORS, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARSHALL + STERLING WEALTH ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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