Modesto A. Lugo

PURSHE KAPLAN STERLING INVESTMENTS

ALBANY, NY 12207

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CRD#: 4400780

Professional summary

Modesto A Lugo JR, who also goes by Modesto A Lugo, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Modesto is registered as a RR (Registered Representative) and started their career in finance in 2003. Modesto has worked at 4 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Modesto A Lugo

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 Modesto A Lugo 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

September 24, 2009 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207

CRD#: 35747

ALBANY, NY

Past

September 12, 2008 - March 23, 2009

INVEST FINANCIAL CORPORATION

CRD#: 12984

LATHAM, NY

Past

November 28, 2007 - July 15, 2008

VP DISTRIBUTORS LLC

CRD#: 3036

EAST GREENBUSH, NY

Past

April 9, 2003 - September 11, 2007

MASTERTRADER.COM

CRD#: 47883

WHITE PLAINS, NY

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

Arizona
(7/2/2024)

California
(7/2/2024)

Delaware
(1/28/2025)

District of Columbia
(11/8/2024)

Florida
(11/8/2024)

Indiana
(11/8/2024)

Maryland
(11/8/2024)

Massachusetts
(3/10/2022)

Mississippi
(10/1/2025)

Missouri
(7/2/2024)

Nevada
(7/7/2021)

New Hampshire
(11/8/2024)

New York
(9/24/2009)

Pennsylvania
(7/2/2024)

Utah
(7/2/2024)

Vermont
(1/28/2025)

Virginia
(11/8/2024)

Wyoming
(10/1/2025)

Exams

State Security Law Exam

Series 63

Date: 12/28/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/18/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/7/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/26/2022

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/2020

General Securities Principal 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Modesto A. Lugo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Modesto A Lugo JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVEST FINANCIAL CORPORATION

VP DISTRIBUTORS LLC

MASTERTRADER.COM

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/2003

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 6/18/2005

Series 7

Date: 4/7/2003

Series 53

Date: 7/26/2022

Series 24

Date: 11/9/2020

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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