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KP

Kimberly M. Papedis

PURSHE KAPLAN STERLING INVESTMENTS
ALBANY, NY 12207
Some features on this profile are disabled
CRD#: 2998971
KP

Professional summary

Kimberly Marie Papedis, CFP®, who also goes by Kimberly Marie Hollenbeck, Kim Stokes, Kimberly Marie Stokes, Kimberly Marie Stokes-hollenbeck, Kimberly Stokes-hollenbeck, Kimberly Marie Stones, Kimberly Marie Wheatley, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Kimberly is registered as a RR (Registered Representative) and started their career in finance in 1998. Kimberly has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kimberly Marie Hollenbeck | Kim Stokes | Kimberly Marie Stokes | Kimberly Marie Stokes-Hollenbeck | Kimberly Stokes-Hollenbeck | Kimberly Marie Stones | Kimberly Marie Wheatley

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 Kimberly Marie Papedis'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®
CFP®

Certified Financial Planner

Experience

Current

September 3, 2019 - Present

PURSHE KAPLAN STERLING INVESTMENTS

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

August 18, 2014 - June 4, 2018

HIGHTOWER ADVISORS, LLC

RIA
CRD#: 145323
SAN DIEGO, CA
Past

August 18, 2014 - June 4, 2018

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
SAN DIEGO, CA
Past

March 17, 2010 - August 6, 2014

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
ST. LOUIS, MO
Past

March 17, 2010 - August 6, 2014

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 2, 2009 - February 19, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
SAINT PETERSBURG, FL
Past

May 14, 2007 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
LITTLETON, CO
Past

January 30, 2007 - February 19, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
LITTLETON, CO
Past

March 29, 2006 - January 23, 2007

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
LITTLETON, CO
Past

August 16, 2005 - March 15, 2006

GENEOS WEALTH MANAGEMENT, INC.

RIA
CRD#: 120894
LITTLETON, CO
Past

August 16, 2005 - March 15, 2006

GENEOS WEALTH MANAGEMENT, INC.

BD
CRD#: 120894
LITTLETON, CO
Past

May 6, 2004 - August 23, 2005

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
ENGLEWOOD, CO
Past

May 6, 2004 - August 23, 2005

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

March 25, 2002 - April 21, 2004

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
LAKEWOOD, CO
Past

June 9, 1999 - April 21, 2004

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

June 4, 1999 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

BD
CRD#: 5081
HOUSTON, TX
Past

February 3, 1998 - June 8, 1999

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO

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
(8/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/9/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/30/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/4/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/2/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/4/2004
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#: 35747Albany, NY 12207

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