Richard Scillieri

PURSHE KAPLAN STERLING INVESTMENTS | Financial Advisor

ALBANY, NY 12207

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CRD#: 5798283

Professional summary

Richard Scillieri, who also goes by Richard Joseph Scillieri, Richard Scillieri, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2016. Richard has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Planning Strategies

Investment Management

Estate Planning Strategies

Are you a "fiduciary"?

Aliases

Richard Joseph Scillieri | Richard Scillieri

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) 08/2024 - BLEAKLEY FINANCIAL GROUP / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s)

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Scillieri'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

April 15, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 300 Kimball Drive Suite 310, Parsippany, NJ 07054

CRD#: 35747

ALBANY, NY

Past

September 5, 2024 - April 15, 2025

LPL FINANCIAL LLC

CRD#: 6413

PARSIPPANY, NJ

Past

April 9, 2024 - September 6, 2024

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SADDLE BROOK, NJ

Past

April 9, 2024 - September 6, 2024

OPPENHEIMER & CO. INC.

CRD#: 249

SADDLE BROOK, NJ

Past

February 28, 2019 - March 19, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

RIVERDALE, NJ

Past

June 14, 2018 - March 19, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

RIVERDALE, NJ

Past

September 6, 2016 - June 12, 2018

MORGAN STANLEY

CRD#: 149777

FLORHAM PARK, NJ

State Registrations and Notice Filings

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

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

New Jersey
(4/15/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/14/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Richard Scillieri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Scillieri's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2016

FINRA

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

Contact information

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