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CB

Corrie A. Blair

PURSHE KAPLAN STERLING INVESTMENTS
Raleigh, NC 27604
Some features on this profile are disabled
CRD#: 2403185
CB

Professional summary

Corrie Ann Blair, who also goes by Corrie Ann Occhetti, Corrie Ann Smith, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Raleigh, North Carolina.

Corrie is registered as a RR (Registered Representative) and started their career in finance in 1993. Corrie has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Corrie Ann Occhetti | Corrie Ann Smith

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 Corrie Ann Blair'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

August 16, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 3100 Smoketree Court Suite 1002, Raleigh, NC 27604
BD
CRD#: 35747
Raleigh, NC
Past

June 16, 2023 - August 16, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
RALEIGH, NC
Past

February 8, 2012 - June 20, 2023

TRIAD ADVISORS LLC

BD
CRD#: 25803
RALEIGH, NC
Past

September 19, 2003 - February 10, 2012

FSC SECURITIES CORPORATION

BD
CRD#: 7461
RALEIGH, NC
Past

September 6, 2001 - September 15, 2003

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

February 10, 1998 - August 21, 2000

NF CLEARING, INC.

BD
CRD#: 14285
PHILADELPHIA, PA
Past

April 24, 1995 - November 26, 1997

BOWLES HOLLOWELL CONNER & CO.

BD
CRD#: 17511
CHARLOTTE, NC
Past

November 8, 1993 - December 20, 1993

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

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
North Carolina
(8/20/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/16/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/5/1993
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: 12/4/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/5/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/9/1997
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/27/1997
General Securities Principal 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)

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#: 35747Raleigh, NC 27604

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