CP
Craig M. Pesce
MARSHALL & STERLING WEALTH ADVISORS
POUGHKEEPSIE, NY 12601
Some features on this profile are disabled
CRD#: 2860958
CP
Professional summary
Craig Matthew Pesce, AIF®, CFP® is a registered financial advisor currently at MARSHALL & STERLING WEALTH ADVISORS, INC. located in Poughkeepsie, New York and LPL FINANCIAL LLC located in Poughkeepsie, New York.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Craig has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Tax Planning
Investment Planning
Retirement Planning
Estate Planning
Business Succession Planning
Insurance Planning
Comprehensive Financial Planni...
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
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.
1. 10/19/2015 - Marshall & Sterling Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/14/2015 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 20%. 2. 2/8/2016 - Marshall & Sterling Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - VP - Start Date: 03/01/2013 - 40 Hours Per Month/40 Hours During Securities Trading - , Life insurance sales - The company is an ESOP company. 3. 2/8/2016 - Marshall & Sterling Inc. - Investment Related - At Reported Business Location(s) - Insurance Agency - Officer/VP - Start Date: 03/01/2013 - 40 Hours Per Month/2 Hours During Securities Trading. 4. 5/16/2018 - Marshall & Sterling Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 3/1/2013 - 240 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Marshall & Sterling Wealth Advisors, an independent investment advisor firm. I started this business activity in 03/2013. I expect to spend approximately 240 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.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Matthew Pesce'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: 2012
Experience
Current
February 13, 2017 - Present
MARSHALL & STERLING WEALTH ADVISORS, INC.
Office #1: 278 Mill Street Suite 301, Poughkeepsie, NY 12601RIA
CRD#: 164345
POUGHKEEPSIE, NY
Current
March 31, 2015 - Present
LPL FINANCIAL LLC
Office #1: 278 Mill St Ste 301, Poughkeepsie, NY 12601RIA
BD
CRD#: 6413
POUGHKEEPSIE, NY
Past
July 23, 2017 - June 24, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
POUGHKEEPSIE, NY
Past
May 9, 2001 - February 8, 2013
M&T SECURITIES, INC.
BD
CRD#: 17358
FISHKILL, NY
Past
March 18, 1999 - May 9, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 6, 1998 - March 24, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
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
Arizona(10/20/2017)
RR
Arkansas(6/14/2017)
RR
California(6/9/2017)
RR
Colorado(7/24/2017)
RR
Connecticut(1/8/2016)
RR
Florida(2/26/2016)
RR
Georgia(7/25/2017)
RR
Illinois(1/3/2025)
RR
Louisiana(2/7/2024)
RR
Maryland(1/10/2019)
RR
Massachusetts(6/16/2017)
RR
Minnesota(7/5/2019)
RR
Nevada(10/23/2023)
RR
New Jersey(10/9/2015)
RR
New Mexico(8/8/2017)
RR
New York(8/5/2015)
IAR
New York(8/27/2021)
RR
North Carolina(6/20/2017)
RR
Oregon(10/22/2020)
RR
Pennsylvania(7/24/2017)
RR
Rhode Island(7/31/2017)
RR
South Carolina(7/24/2017)
RR
Tennessee(7/25/2017)
RR
Texas(7/25/2017)
IAR
Texas(5/30/2018)
RR
Vermont(8/27/2019)
RR
Virgin Islands(2/8/2016)
RR
Virginia(6/9/2017)
RR
Washington(8/17/2017)
RR
Wisconsin(11/28/2016)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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
MARSHALL & STERLING WEALTH ADVISORS, INC.
CRD#: 164345Poughkeepsie, NY 12601TRUST BUT VERIFY
Monitor Craig Pesce
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
