James T. Ferrin

PURSHE KAPLAN STERLING INVESTMENTS

ALBANY, NY 12207

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CRD#: 5829443

Professional summary

James Thomas Ferrin, CFP®, who also goes by Jt Ferrin, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2014. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

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Are you a "fiduciary"?

Aliases

Jt Ferrin

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) Asset One Wealth Management. Investment-related. At registered location. RIA. Financial Advisor. Start date: 09/2025. 160 hrs/month; all during trading hours. Provide advice to clients. 2) Fixed Insurance. Investment-related. At registered location. Fixed / Traditional Insurance. Agent. Start date: 09/2025. 0 hrs/month all during trading hours. Sales of fixed / traditional insurance products.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Ferrin'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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

September 30, 2025 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 1955 W Grove Parkway Suite 200, Pleasant Grove, UT 84062

CRD#: 35747

ALBANY, NY

Past

October 15, 2024 - October 6, 2025

LPL FINANCIAL LLC

CRD#: 6413

PLEASANT GROVE, UT

Past

October 14, 2024 - October 6, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

PLEASANT GROVE, UT

Past

February 1, 2023 - September 16, 2024

SHILANSKI & ASSOCIATES, INC.

RIA

CRD#: 116431

ANCHORAGE, AK

Past

August 21, 2020 - February 2, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

PLEASANT GROVE, UT

Past

June 17, 2020 - February 2, 2023

LPL FINANCIAL LLC

CRD#: 6413

PLEASANT GROVE, UT

Past

June 18, 2014 - December 4, 2019

TRIAD ADVISORS LLC

CRD#: 25803

PLEASANT GROVE, UT

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

Utah
(9/30/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/3/2020

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: 6/18/2014

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

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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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Firm Stability Insights

James T. Ferrin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Ferrin's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SHILANSKI & ASSOCIATES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

TRIAD ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2020

SIE

Date: 10/1/2018

Series 7

Date: 6/18/2014

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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