Marc A. Agel
ALBANYADVISOR GROUP LLC
Albany, NY 12211-2396
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CRD#: 2853423
Professional summary
Marc Allen Agel, CFP®, who also goes by Mark Allen Agel, is a registered financial advisor currently at ALBANYADVISOR GROUP LLC located in Albany, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Marc has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Allen Agel
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) AlbanyAdvisor Group, LLC; registered investment advisor. Investment-related. Greater than 50% of time. Same address. 2) MEA FINANCIAL ENTERPRISES, LLC, INVESTMENT RELATED, 32 SABAL ISLAND DRIVE, BOYNTON BEACH, FL 33435, INVESTMENT DATA RESEARCH, POSITON = OWNER, HOURS/MONTH = 1, SECURITIES HOURS/MONTH = 0, JOB DUTIES = WORKING WITH A COMPUTER PROGRAMMER TO DEVELOP MODELS OF DETERMINING DEVIATION OF ALPHA IN MUTUAL FUNDS. 3) PKS FINANCIAL; INVESTMENT RELATED 80 State Street, Albany, NY 12207; FIXED INSURANCE; INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE & ANNUITY CONTRACTS START DATE: 11/24/06 4) AAG Business Management, LLC. Not Investment Related. 36 Columbine Drive, Glenmont NY 12077. Operating Entity. Owner/General Partner. Start 6/2020. 20 hours per week during trading. Pass-thru entity for expenses/facilities. Running the LLC to provide Marc, Lori, Robert and Susan with office space and a sales assistant. 5) AAG Insurance Services, LLC. Not Investment Related. At Registered Branch Office Location. Insurance Agency. Owner. Start 9/2023. 4 hrs/mo. 4 hrs during trading. Collection and Reconciliation of Insurance Commissions and Overrides. 6) Taco-brero LLC. Not Investment Related. 36 Columbine Drive Glenmont, NY 12077. Management Services. Owner. Start Date: 03/15/25. 0 hrs/ month; none during trading hours. Running the entity. arranging for design, production, marketing, and delivery. Most of this outsourced to outside vendor.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Allen Agel'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: 2005
Experience
Current
October 21, 2021 - Present
ALBANYADVISOR GROUP LLC
Office #1: 20 Corporate Woods Blvd.. Suite 400, Albany, NY 12211-2396RIA
CRD#: 316226
Albany, NY
Current
November 24, 2006 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 20 Corporate Woods Blvd Suite 400, Albany, NY 12211Office #2: 292 Washington Ave Extension Suite 101, Albany, NY 12203BD
CRD#: 35747
Albany, NY
Past
January 26, 2007 - December 31, 2022
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
ALBANY, NY
Past
June 1, 2001 - December 8, 2006
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
ALBANY, NY
Past
May 4, 2000 - June 5, 2001
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
June 18, 1999 - September 3, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
May 21, 1998 - June 15, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
March 17, 1997 - February 14, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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".
AG
ALBANYADVISOR GROUP LLC
ALBANY ADVISOR GROUP | ALBANYADVISOR GROUP LLC | ALBANY ADVISOR GROUP, LLC
CRD#: 316226 / SEC#: 801-122496
RIA
Registered Investment Advisory firm - (10/15/2021 Approved)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
Arizona(11/24/2006)
RR
California(11/16/2012)
RR
Connecticut(11/24/2006)
RR
Florida(11/24/2006)
RR
Georgia(8/3/2023)
RR
Hawaii(11/24/2015)
RR
Maryland(1/9/2007)
RR
Massachusetts(11/24/2006)
RR
New Hampshire(6/23/2015)
RR
New Jersey(11/24/2006)
RR
New York(11/24/2006)
IAR
New York(10/21/2021)
RR
North Carolina(2/5/2013)
RR
Ohio(1/10/2007)
RR
Pennsylvania(11/24/2006)
RR
Rhode Island(3/29/2016)
RR
South Carolina(3/14/2018)
RR
Texas(11/12/2018)
IAR
Texas(7/27/2022)
RR
Virginia(11/24/2006)
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
AG
ALBANYADVISOR GROUP LLC
ALBANY ADVISOR GROUP | ALBANYADVISOR GROUP LLC | ALBANY ADVISOR GROUP, LLC
CRD#: 316226 / SEC#: 801-122496
RIA
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Contact information
Main Address
20 Corporate Woods Blvd.. Suite 400, Albany, NY 12211-2396
Mailing Address
Phone number
(518) 689-3577
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 936 |
| AUM (Assets Under Management) | $ 270,450,487 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
