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MP

Mary C. Passalaqua

Some features on this profile are disabled
CRD#: 4202700
MP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mary Christine Passalaqua, who also goes by Mary C Arnold, Mary Christine Arnold, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 2002. Mary had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mary C Arnold | Mary Christine Arnold

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 2009 - January 13, 2014

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
ROSEVILLE, CA
Past

June 1, 2009 - September 8, 2009

MORGAN STANLEY

RIA
CRD#: 149777
ROSEVILLE, CA
Past

June 1, 2009 - September 8, 2009

MORGAN STANLEY

BD
CRD#: 149777
ROSEVILLE, CA
Past

December 19, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
ROSEVILLE, CA
Past

December 19, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
ROSEVILLE, CA
Past

July 31, 2006 - December 19, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ROSEVILLE, CA
Past

July 31, 2006 - December 19, 2007

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ROSEVILLE, CA
Past

March 20, 2006 - July 6, 2006

OSAIC FA, INC.

RIA
CRD#: 3978
SACRAMENTO, CA
Past

March 20, 2006 - March 27, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
SACRAMENTO, CA
Past

March 20, 2006 - July 6, 2006

OSAIC FA, INC.

BD
CRD#: 3978
SACRAMENTO, CA
Past

July 1, 2003 - February 22, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NAPA, CA
Past

July 1, 2003 - February 22, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 13, 2003 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
NAPA, CA
Past

May 14, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/22/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/22/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/2002
General Securities Representative Examination

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#: 35747

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