Stuart Reff
Professional summary
Stuart Reff, who also goes by Stuart Marshall Reff, Stuart M Reff, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 2013. Stuart has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stuart Reff's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 26, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207June 23, 2021 - July 27, 2021
FIRST ALLIED SECURITIES, INC.
June 23, 2021 - July 27, 2021
CETERA INVESTMENT SERVICES LLC
June 23, 2021 - July 27, 2021
CETERA FINANCIAL SPECIALISTS LLC
June 23, 2021 - July 27, 2021
CETERA ADVISORS LLC
June 23, 2021 - July 27, 2021
CETERA WEALTH SERVICES, LLC
July 7, 2014 - May 26, 2021
PURSHE KAPLAN STERLING INVESTMENTS
January 8, 2014 - April 17, 2014
EQUITABLE ADVISORS, LLC
March 8, 2013 - April 17, 2014
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/26/2021)
Exams
FINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Company Information
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747Albany, NY 12207TRUST BUT VERIFY
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