Lori G. Murphy
ALBANYADVISOR GROUP LLC
Albany, NY 12211-2396
Some features on this profile are disabled
CRD#: 5240690
Professional summary
Lori Gluck Murphy, CFP®, who also goes by Lori Beth Gluck, is a registered financial advisor currently at ALBANYADVISOR GROUP LLC located in Albany, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lori has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lori Beth Gluck
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) PKS FINANCIAL; INVESTMENT RELATED; 80 STATE ST, ALBANY, NY 12207; FIXED INSURANCE; INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE & ANNUITY CONTRACTS START DATE: 1/23/06 2) AAG Business Management, LLC. Not Investment Related. 36 Columbine Drive, Glenmont NY 12077. Operating Entity. General Partner. Start 6/2020. 10 hours per month during trading. Pass-thru entity for expenses/facilities Leasing of Office Space, Employment for sales assistant, independent contractor coordination. 3) Insurance Business - Wealth Advisory Group, LLC; Investment Related; 1207 Troy Schenectady Road, Latham, NY 12110; Fixed Insurance; Agent; 10/31/2022; 2 hrs/mo; 2 hrs during trading; Sell Fixed Insurance products for clients that require them. 4) AAG Insurance Services LLC; Investment Related; at Registered Branch office location; Fixed Insurance; Owner; Start Date: 9/2023; 4 hrs/mo; 4 hrs during trading; Collection and reconciliation of insurance commissions and overrides.
CRS (Client Relationship Summary) - RIA
Click below to view Lori Gluck Murphy's 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®
CFP®
Start date: 2019
Experience
Current
October 21, 2021 - Present
ALBANYADVISOR GROUP LLC
Office #1: 20 Corporate Woods Blvd.. Suite 400, Albany, NY 12211-2396RIA
CRD#: 316226
Albany, NY
Current
January 22, 2007 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 20 Corporate Woods Blvd Suite 400, Albany, NY 12211BD
CRD#: 35747
Albany, NY
Past
January 26, 2007 - December 31, 2022
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
ALBANY, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AG
ALBANYADVISOR GROUP LLC
ALBANY ADVISOR GROUP | ALBANYADVISOR GROUP LLC | ALBANY ADVISOR GROUP, LLC
CRD#: 316226 / SEC#: 801-122496
RIA
Registered Investment Advisory firm - (10/15/2021 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Colorado(10/9/2024)
RR
Connecticut(1/6/2010)
RR
Florida(12/3/2007)
RR
Massachusetts(9/22/2022)
RR
New York(3/5/2007)
IAR
New York(10/21/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AG
ALBANYADVISOR GROUP LLC
ALBANY ADVISOR GROUP | ALBANYADVISOR GROUP LLC | ALBANY ADVISOR GROUP, LLC
CRD#: 316226 / SEC#: 801-122496
RIA
Registered Investment Advisory firm - (10/15/2021 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
20 Corporate Woods Blvd.. Suite 400, Albany, NY 12211-2396
Mailing Address
Phone number
(518) 689-3577
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 936 |
| AUM (Assets Under Management) | $ 270,450,487 |
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.
