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Marianne Regan

Marianne Regan

PURSHE KAPLAN STERLING INVESTMENTS | Financial Advisor
ALBANY, NY 12207
Some features on this profile are disabled
CRD#: 5047705
Marianne Regan

Professional summary

Marianne Regan, who also goes by Maire Regan, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Marianne is registered as a RR (Registered Representative) and started their career in finance in 2010. Marianne has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maire Regan

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.
1) Asset One Wealth Management. Investment Related. At Registered Location. RIA. IAR. 09/2025. 160. 130 during securities trading hours. Client meetings, tax review, financial planning, portfolio selection, insurance reviews, income modeling, client education. 2) Asset One Wealth Management. Investment Related. At Registered Location. Fixed Insurance. Agent. 15/ 15 during securities trading hours. Provide insurance advice based on the needs of client(s).

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marianne Regan'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 2, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 35006 Hawk Hill Road, Philomath, OR 97370
BD
CRD#: 35747
ALBANY, NY
Past

April 5, 2017 - September 4, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
PHILOMATH, OR
Past

March 4, 2011 - September 3, 2025

NWF ADVISORY SERVICES INC

RIA
CRD#: 110410
Philomath, OR
Past

May 20, 2010 - September 4, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
PHILOMATH, OR

State Registrations and Notice Filings

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

RR
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

RR
Alaska
(9/2/2025)
RR
California
(9/2/2025)
RR
Oregon
(9/2/2025)
RR
Washington
(9/2/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/10/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

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

Financial AdvisorCRD#: 35747Albany, NY 12207

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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