Agostino A. Pugliese

THE MARSHALL FINANCIAL GROUP LLC

HUNT VALLEY, MD 21031

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CRD#: 5624255

Professional summary

Agostino Anthony Pugliese, who also goes by Agostine A Pugliese, Agostino A Pugliese, Anthony Pugliese, is a registered financial advisor currently at THE MARSHALL FINANCIAL GROUP LLC located in Hunt Valley, Maryland and PURSHE KAPLAN STERLING INVESTMENTS located in Hunt Valley, Maryland.

Agostino is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Agostino has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Agostine A Pugliese | Agostino A Pugliese | Anthony Pugliese

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) The Marshall Financial Group LLC. Investment related. At registered location. RIA. Investment Advisor Representative. 9/2015. 140 hrs/mnth. 140 hrs/trading hrs. Client reviews, managing investment portfolios and providing investment advice. __ 2) Fixed Insurance - Investment Related - at same location as registered address. Fixed Insurance Sales - Agent - 9/2015. 1hr/1trading hour a month. Occasionally selling and giving advice relating to fixed insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Agostino Anthony Pugliese'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

October 2, 2015 - Present

THE MARSHALL FINANCIAL GROUP LLC

Office #1: 225 Schilling Circle Suite 295, Hunt Valley, MD 21031

RIA

CRD#: 146362

HUNT VALLEY, MD

Current

August 14, 2020 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 225 Schilling Circle Suite 295, Hunt Valley, MD 21031

CRD#: 35747

Hunt Valley, MD

Past

March 13, 2018 - August 14, 2020

SSN ADVISORY, INC.

RIA

CRD#: 126090

Hunt Valley, MD

Past

January 5, 2016 - June 16, 2016

SSN ADVISORY, INC.

RIA

CRD#: 126090

Dansville, NY

Past

September 29, 2015 - August 14, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

HUNT VALLEY, MD

Past

February 4, 2015 - September 28, 2015

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

RIA

CRD#: 159388

COLUMBIA, MD

Past

January 20, 2011 - February 4, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WASHINGTON, DC

Past

September 7, 2010 - February 4, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WASHINGTON, DC

Past

June 15, 2009 - January 15, 2010

PARK AVENUE SECURITIES LLC

CRD#: 46173

CRANFORD, NJ

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".

THE MARSHALL FINANCIAL GROUP LLC

FIDUCIARY FIRST ADVISORS | THE MARSHALL FINANCIAL GROUP LLC

CRD#: 146362 / SEC#: 801-117820

RIA

Registered Investment Advisory firm - (12/18/2019 Approved)

Florida

Registered Investment Advisory firm - (2/11/2020 Terminated)

Maryland

Registered Investment Advisory firm - (2/11/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (3/18/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/14/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Connecticut
(8/14/2020)

Florida
(8/14/2020)

IAR

Maryland
(10/2/2015)

Maryland
(8/14/2020)

New York
(8/14/2020)

Pennsylvania
(8/14/2020)

IAR

Texas
(4/20/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/19/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/24/2013

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/12/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE MARSHALL FINANCIAL GROUP LLC

FIDUCIARY FIRST ADVISORS | THE MARSHALL FINANCIAL GROUP LLC

CRD#: 146362 / SEC#: 801-117820

RIA

Registered Investment Advisory firm - (12/18/2019 Approved)

Florida

Registered Investment Advisory firm - (2/11/2020 Terminated)

Maryland

Registered Investment Advisory firm - (2/11/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (3/18/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/14/2020 Terminated)

Texas

Registered Investment Advisory firm - (2/11/2020 Terminated)

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Contact information

Main Address

225 Schilling Circle Suite 295, Hunt Valley, MD 21031

Mailing Address

Phone number

(410) 563-1190

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISLOSURE DOCUMENT FOR ALL CLIENTS (1/31/2025)

Regulatory assets under management

Total Number of Accounts	2,449
AUM (Assets Under Management)	$ 593,043,749

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2024	Cover Page	Report
07/24/2023	Cover Page	Report

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.

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Agostino A. Pugliese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Agostino Anthony Pugliese's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SSN ADVISORY, INC.

SSN ADVISORY, INC.

SECURITIES SERVICE NETWORK, LLC

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

THE MARSHALL FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/19/2011

SIE

Date: 10/1/2018

Series 31

Date: 6/24/2013

Series 7

Date: 6/12/2009

FINRA

Current Firm

THE MARSHALL FINANCIAL GROUP LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE MARSHALL FINANCIAL GROUP LLC

TRUST BUT VERIFY

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