CM
Christopher M. Marks
STERLING INVESTMENT COUNSEL
BUFFALO, NY 14202
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CRD#: 2875428
CM
Professional summary
Christopher Michael Marks is a registered financial advisor currently at STERLING INVESTMENT COUNSEL, LLC located in Buffalo, New York and LPL FINANCIAL LLC located in Buffalo, New York.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
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. 03/12/2018 - JENSEN, MARKS, LANGER, AND VANCE LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 03/21/2018 - Sterling Investment Counsel, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 03/2016 - 40 Hours Per Month/40 Hours During Securities Trading - I provide investment advisory services through Sterling Investment Counsel, LLC, an independent investment advisor firm. I started this business activity in 03/2016. I expect to spend approximately 40 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. 3. 09/29/2020 - Specific Solutions, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Broker - Started 06/02/1997 - 5 Hours Per Month During Securities Trading - Broker with Specific Solutions, Inc, an insurance brokerage for multiple insurance companies providing fixed life insurance, disability insurance, and long term care insurance. 4. 06/9/2021 - Alliance Advisory Group LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 1/3/2000 - 2 Hours Per Month/2 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Michael Marks'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®
NoneExperience
Current
April 6, 2016 - Present
STERLING INVESTMENT COUNSEL, LLC
Office #1: 360 Delaware Avenue Suite 400, Buffalo, NY 14202RIA
CRD#: 282624
BUFFALO, NY
Current
February 14, 2018 - Present
LPL FINANCIAL LLC
Office #1: 360 Delaware Ave Ste 400, Buffalo, NY 14202RIA
BD
CRD#: 6413
BUFFALO, NY
Past
February 14, 2018 - April 12, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
November 1, 2007 - February 15, 2018
SII INVESTMENTS, INC.
RIA
CRD#: 2225
BUFFALO, NY
Past
November 1, 2007 - February 14, 2018
SII INVESTMENTS, INC.
BD
CRD#: 2225
BUFFALO, NY
Past
November 2, 1999 - November 5, 2007
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
BUFFALO, NY
Past
April 10, 1997 - November 5, 2007
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
BUFFALO, NY
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".
SI
STERLING INVESTMENT COUNSEL, LLC
STERLING INVESTMENT COUNSEL, LLC
CRD#: 282624 / SEC#: 801-107624
RIA
Registered Investment Advisory firm - (4/6/2016 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
Alabama(2/23/2021)
RR
California(2/14/2018)
RR
Connecticut(2/14/2018)
RR
Delaware(11/5/2019)
RR
District of Columbia(2/14/2018)
RR
Florida(2/14/2018)
RR
Georgia(2/14/2018)
RR
Illinois(2/14/2018)
RR
Indiana(2/14/2018)
RR
Maryland(2/14/2018)
RR
Massachusetts(11/18/2019)
RR
New York(2/14/2018)
IAR
New York(8/16/2021)
RR
Ohio(2/14/2018)
RR
Oregon(2/14/2018)
RR
Pennsylvania(2/14/2018)
RR
South Carolina(2/14/2018)
IAR
Texas(4/6/2016)
RR
Texas(2/14/2018)
RR
Virginia(2/14/2018)
RR
Washington(2/14/2018)
RR
West Virginia(2/14/2018)
RR
Wisconsin(2/14/2018)
Exams
State Security Law Exam
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
SI
STERLING INVESTMENT COUNSEL, LLC
STERLING INVESTMENT COUNSEL, LLC
CRD#: 282624 / SEC#: 801-107624
RIA
Registered Investment Advisory firm - (4/6/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
360 Delaware Avenue Suite 400, Buffalo, NY 14202
Mailing Address
Phone number
(716) 783-7054
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,038 |
| AUM (Assets Under Management) | $ 819,283,156 |
Red Flags
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Company Information
STERLING INVESTMENT COUNSEL, LLC
CRD#: 282624Buffalo, NY 14202TRUST BUT VERIFY
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Contact information
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