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SM

Sarah B. Marlow

PURSHE KAPLAN STERLING INVESTMENTS
Boca Raton, FL 33487
Some features on this profile are disabled
CRD#: 3206689
SM

Professional summary

Sarah Bernette Marlow, who also goes by Sarah B Marlow, Sarah Bernette Murray, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Boca Raton, Florida.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 1999. Sarah has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah B Marlow | Sarah Bernette Murray

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 Sarah Bernette Marlow'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

January 14, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 5901 Broken Sound Parkway Nw Suite 502, Boca Raton, FL 33487
BD
CRD#: 35747
Boca Raton, FL
Past

April 23, 2018 - December 10, 2025

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Boca Raton, FL
Past

February 2, 2005 - May 15, 2018

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 19, 2000 - April 28, 2005

MERCER ALLIED COMPANY, L.P.

BD
CRD#: 37404
COHOES, NY
Past

April 28, 1999 - September 18, 2000

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY

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
(1/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/1999
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 7
Date: 4/27/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/2000
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#: 35747Boca Raton, FL 33487

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