CS
Chintan H. Shukla
MARSHALL & STERLING WEALTH ADVISORS
POUGHKEEPSIE, NY 12601
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CRD#: 5606855
CS
Professional summary
Chintan Hariprakash Shukla, who also goes by Chintan H Shukla, is a registered financial advisor currently at MARSHALL & STERLING WEALTH ADVISORS, INC. located in Poughkeepsie, New York and LPL FINANCIAL LLC located in Poughkeepsie, New York.
Chintan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Chintan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chintan H Shukla
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. 6/6/19- Marshall & Sterling Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- Poughkeepsie, NY - 100% 2. 06/13/2019 - Marshall & Sterling Wealth Advisors, Inc - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - start date:06/2019 - 160 hrs/mo - 8 hrs during trading - I provide administrative support to Marshall & Sterling Wealth Advisors, an independent investment advisor firm. I started this business activity in 06/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at�http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 12/30/2019 - No Business Name - Investment Related - Amherst, NY 14226 - Real Estate Rental - Started 10/01/2019 - 2 Hours Per Month/0 Hours During Securities Trading. 4. 2/4/2021 - No Business Name - Investment Related - Amherst, NY 14226 - Real Estate Rental - Started 10/01/2019 - 2 Hours Per Month/0 Hours During Securities Trading. 5. 03/13/2024 - Children's Home of Poughkeepsie - Poughkeepsie, NY 12601 - Non-Profit Board Member - 2 Hours Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Chintan Hariprakash Shukla'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®
NoneExperience
Current
June 5, 2019 - Present
MARSHALL & STERLING WEALTH ADVISORS, INC.
Office #1: 110 Main Street, Poughkeepsie, NY 12601RIA
CRD#: 164345
POUGHKEEPSIE, NY
Current
June 6, 2019 - Present
LPL FINANCIAL LLC
Office #1: 278 Mill St Ste 301, Poughkeepsie, NY 12601RIA
BD
CRD#: 6413
POUGHKEEPSIE, NY
Past
May 12, 2010 - December 31, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
WILLIAMSVILLE, NY
Past
January 1, 2010 - May 29, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
BUFFALO, 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".
M&
MARSHALL & STERLING WEALTH ADVISORS, INC.
MARSHALL & STERLING WEALTH ADVISORS, INC.
CRD#: 164345 / SEC#: 801-78688
RIA
Registered Investment Advisory firm - (11/1/2013 Approved)New York
Registered Investment Advisory firm - (11/12/2013 Terminated)Texas
Registered Investment Advisory firm - (11/12/2013 Terminated)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
New York(6/6/2019)
IAR
New York(8/27/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
M&
MARSHALL & STERLING WEALTH ADVISORS, INC.
MARSHALL & STERLING WEALTH ADVISORS, INC.
CRD#: 164345 / SEC#: 801-78688
RIA
Registered Investment Advisory firm - (11/1/2013 Approved)New York
Registered Investment Advisory firm - (11/12/2013 Terminated)Texas
Registered Investment Advisory firm - (11/12/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
278 Mill Street Suite 301, Poughkeepsie, NY 12601
Mailing Address
Phone number
(845) 554-1046
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,598 |
| AUM (Assets Under Management) | $ 995,832,115 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MARSHALL & STERLING WEALTH ADVISORS, INC.
CRD#: 164345Poughkeepsie, NY 12601TRUST BUT VERIFY
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