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Vinessa F. Siano

PURSHE KAPLAN STERLING INVESTMENTS
Jupiter, FL 33477
CRD#: 5171879
Some features on this profile are disabled
VS
Vinessa Frances SianoPURSHE KAPLAN STERLING INVESTMENTS

Professional summary

Vinessa Frances Siano, who also goes by VInessa Frances Jones, Vinessa F Morgan, Vinessa Frances Morgan, Vinessa F Siano, Vinessa F. Siano, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Jupiter, Florida.

Vinessa is registered as a RR (Registered Representative) and started their career in finance in 2009. Vinessa has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vinessa Frances Jones | Vinessa F Morgan | Vinessa Frances Morgan | Vinessa F Siano | Vinessa F. Siano

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 Vinessa Frances Siano'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

June 3, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 725 N. Highway A1a Suite E-109, Jupiter, FL 33477Office #2: 80 State Street, Albany, NY 12207
BD
CRD#: 35747
Jupiter, FL
Past

June 10, 2025 - May 15, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PALM BEACH GARDENS, FL
Past

April 25, 2025 - May 15, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PALM BEACH GARDENS, FL
Past

March 31, 2016 - December 18, 2017

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
Jupiter, FL
Past

March 29, 2016 - December 19, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
JUPITER, FL
Past

June 24, 2014 - March 30, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PALM BEACH GARDENS, FL
Past

June 16, 2014 - March 30, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PALM BEACH GARDENS, FL
Past

March 4, 2009 - June 25, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
PALM BEACH GARDENS, FL

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
Alabama
(6/3/2026)
RR
Arizona
(6/3/2026)
RR
California
(6/3/2026)
RR
Colorado
(6/3/2026)
RR
Connecticut
(6/3/2026)
RR
Delaware
(6/3/2026)
RR
Florida
(6/3/2026)
RR
Georgia
(6/3/2026)
RR
Illinois
(6/3/2026)
RR
Indiana
(6/3/2026)
RR
Louisiana
(6/3/2026)
RR
Maine
(6/3/2026)
RR
Maryland
(6/3/2026)
RR
Massachusetts
(6/3/2026)
RR
New Hampshire
(6/3/2026)
RR
New Jersey
(6/3/2026)
RR
New Mexico
(6/3/2026)
RR
New York
(6/3/2026)
RR
North Carolina
(6/3/2026)
RR
Ohio
(6/3/2026)
RR
Oregon
(6/3/2026)
RR
Pennsylvania
(6/3/2026)
RR
South Carolina
(6/3/2026)
RR
Tennessee
(6/3/2026)
RR
Texas
(6/3/2026)
RR
Vermont
(6/3/2026)
RR
Virginia
(6/3/2026)
RR
Washington
(6/3/2026)
RR
Wisconsin
(6/3/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/2/2025
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/23/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/25/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/3/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/3/2009
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)

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

CRD#: 35747Jupiter, FL 33477

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