Ronald G. Heywood

PURSHE KAPLAN STERLING INVESTMENTS

ALBANY, NY 12207

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CRD#: 4516028

Professional summary

Ronald George Heywood, who also goes by Ronald George Heywood III, Ronald George Heywood, Ronald George Heywood III, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2002. Ronald has worked at 7 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ronald George Heywood Iii | Ronald George Heywood | Ronald George Heywood Iii

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 Ronald George Heywood'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 26, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

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

CRD#: 35747

ALBANY, NY

Past

June 23, 2023 - June 25, 2024

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

December 15, 2014 - July 30, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

June 3, 2010 - November 21, 2014

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

January 4, 2007 - April 26, 2010

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

November 3, 2006 - December 1, 2006

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

April 2, 2002 - June 7, 2005

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

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

Colorado
(8/26/2025)

Exams

State Security Law Exam

Series 63

Date: 11/5/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 8/25/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/1/2002

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

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

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Advisor Monitoring

Firm Stability Insights

Ronald G. Heywood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald George Heywood's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA CAPITAL, LLC

CHARLES SCHWAB & CO., INC.

EMPOWER FINANCIAL SERVICES, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

MML DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/5/2007

Series 6TO

Date: 8/25/2022

SIE

Date: 10/1/2018

Series 6

Date: 4/1/2002

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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