Richard A. Tira

PURSHE KAPLAN STERLING INVESTMENTS

Williamsport, PA 17701

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CRD#: 4254326

Professional summary

Richard Anthony Tira JR, who also goes by Richard Anthony Tira Jr, Rich Tira, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Williamsport, Pennsylvania.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Anthony Tira Jr | Rich Tira

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 Richard Anthony Tira JR'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

August 16, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: Oaks Plaza 2350 E. Third Street Suite 6, Williamsport, PA 17701

CRD#: 35747

Williamsport, PA

Past

May 20, 2023 - August 16, 2024

LPL FINANCIAL LLC

CRD#: 6413

WILLIAMSPORT, PA

Past

July 17, 2020 - May 23, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

williamsport, PA

Past

January 1, 2004 - July 24, 2020

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WILLIAMSPORT, PA

Past

November 2, 2000 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

State Registrations and Notice Filings

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

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

Alabama
(8/20/2024)

Arizona
(8/16/2024)

Connecticut
(8/16/2024)

Delaware
(8/16/2024)

Florida
(8/16/2024)

Georgia
(8/16/2024)

Missouri
(8/16/2024)

New Jersey
(10/29/2025)

New York
(8/16/2024)

North Carolina
(8/20/2024)

Ohio
(8/16/2024)

Pennsylvania
(8/16/2024)

South Carolina
(8/16/2024)

Tennessee
(8/16/2024)

Texas
(8/16/2024)

Vermont
(8/16/2024)

Virginia
(8/16/2024)

West Virginia
(8/16/2024)

Exams

State Security Law Exam

Series 63

Date: 11/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/4/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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.

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Richard A. Tira

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Anthony Tira JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/16/2000

SIE

Date: 10/1/2018

Series 6

Date: 10/4/2000

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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