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MS

Matthew E. Shannon

PURSHE KAPLAN STERLING INVESTMENTS
ALBANY, NY 12207
Some features on this profile are disabled
CRD#: 6186701
MS

Professional summary

Matthew Edward Shannon is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2013. Matthew has worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 6, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Edward Shannon'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

November 11, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207
BD
CRD#: 35747
ALBANY, NY
Past

May 10, 2021 - December 2, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
COHOES, NY
Past

April 11, 2016 - April 22, 2021

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
ALBANY, NY
Past

October 27, 2015 - April 19, 2016

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
ALBANY, NY
Past

April 29, 2013 - July 22, 2015

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
ALTAMONT, NY

State Registrations and Notice Filings

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

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
(11/11/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 9/25/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/16/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/26/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 11/27/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/11/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Albany, NY 12207

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