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SW

Steven M. Weitz

PURSHE KAPLAN STERLING INVESTMENTS
ALBANY, NY 12207
Some features on this profile are disabled
CRD#: 2731399
SW

Professional summary

Steven Marc Weitz is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Marc Weitz'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

February 21, 2014 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207
BD
CRD#: 35747
ALBANY, NY
Past

November 3, 2017 - December 31, 2021

E2I ADVISORS, LLC

RIA
CRD#: 285987
Fort Lauderdale, FL
Past

November 22, 2013 - February 4, 2014

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
CORAL SPRINGS, FL
Past

May 17, 2012 - October 24, 2017

FUSION ANALYTICS INVESTMENT PARTNERS LLC

RIA
CRD#: 139321
CORAL SPRINGS, FL
Past

May 2, 2012 - April 15, 2014

FUSION ANALYTICS SECURITIES LLC

BD
CRD#: 124245
CORAL SPRINGS, FL
Past

June 29, 2009 - February 6, 2014

ASSET & FINANCIAL PLANNING, LTD

RIA
CRD#: 110709
CORAL SPRINGS, FL
Past

June 3, 2009 - November 22, 2013

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
CORAL SPRINGS, FL
Past

June 7, 1996 - June 3, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CORAL SPRINGS, FL
Past

June 4, 1996 - June 3, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CORAL SPRINGS, FL

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
Florida
(3/3/2014)
RR
Georgia
(2/21/2014)
RR
New Jersey
(2/21/2014)
RR
New York
(2/21/2014)
RR
North Carolina
(10/18/2021)
RR
Pennsylvania
(9/3/2020)
RR
Tennessee
(1/30/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/8/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/21/1996
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 31
Date: 12/29/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/3/1996
General Securities Representative 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#: 35747Albany, NY 12207

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