Roman Moldavsky
Professional summary
Roman Moldavsky is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Roman is registered as a RR (Registered Representative) and started their career in finance in 2004. Roman has worked at 7 firms and has passed the Series 66, Series 7TO, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roman Moldavsky's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 17, 2025 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207March 25, 2017 - June 23, 2020
MML INVESTORS SERVICES, LLC
July 1, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
September 8, 2006 - June 23, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 8, 2005 - July 11, 2006
MAXIM GROUP LLC
August 23, 2004 - January 12, 2005
LAIDLAW & COMPANY (UK) LTD.
January 19, 2004 - August 23, 2004
SANDS BROTHERS & CO., LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/14/2022
General Securities Representative ExaminationFINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Company Information
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747Albany, NY 12207TRUST BUT VERIFY
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