SV
Stephen A. Valentino
MARSHALL & STERLING WEALTH ADVISORS
POUGHKEEPSIE, NY 12601
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CRD#: 6844368
SV
Professional summary
Stephen Anthony Valentino, CFP®, who also goes by Stephen Anthony Valentino Jr., is a registered financial advisor currently at MARSHALL & STERLING WEALTH ADVISORS, INC. located in Poughkeepsie, New York and LPL FINANCIAL LLC located in Poughkeepsie, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Stephen has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Anthony Valentino Jr.
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) 03/05/2018 - Marshall & Sterling Wealth Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 02/2018 - 160 hr/mth.
2) 10/9/2018 - Marshall & Sterling Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 02/28/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide administrative support to Marshall & Sterling Wealth Advisors, an independent investment advisor firm. I started this business activity in 02/2018. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
3) 11/19/2018 - Marshall & Sterling - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 07/06/2018 - 20 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Anthony Valentino's 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®
Start date: 2021
Experience
Current
October 9, 2018 - Present
MARSHALL & STERLING WEALTH ADVISORS, INC.
Office #1: 278 Mill Street Suite 301, Poughkeepsie, NY 12601RIA
CRD#: 164345
POUGHKEEPSIE, NY
Current
March 14, 2018 - Present
LPL FINANCIAL LLC
Office #1: 278 Mill St Ste 301, Poughkeepsie, NY 12601RIA
BD
CRD#: 6413
POUGHKEEPSIE, NY
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".
M&
MARSHALL & STERLING WEALTH ADVISORS, INC.
MARSHALL & STERLING WEALTH ADVISORS, INC.
CRD#: 164345 / SEC#: 801-78688
RIA
Registered Investment Advisory firm - (11/1/2013 Approved)New York
Registered Investment Advisory firm - (11/12/2013 Terminated)Texas
Registered Investment Advisory firm - (11/12/2013 Terminated)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.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
Arizona(2/23/2021)
RR
Arkansas(2/23/2021)
RR
California(2/23/2021)
RR
Connecticut(2/8/2022)
RR
Florida(10/2/2020)
RR
Illinois(12/18/2024)
RR
Massachusetts(2/23/2021)
RR
Minnesota(10/30/2018)
RR
New Jersey(10/2/2020)
RR
New Mexico(1/27/2023)
RR
New York(5/21/2018)
IAR
New York(8/29/2021)
RR
North Carolina(2/24/2021)
RR
South Carolina(2/23/2021)
RR
Tennessee(10/23/2024)
RR
Texas(2/23/2021)
RR
Virginia(2/23/2021)
RR
Washington(1/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
M&
MARSHALL & STERLING WEALTH ADVISORS, INC.
MARSHALL & STERLING WEALTH ADVISORS, INC.
CRD#: 164345 / SEC#: 801-78688
RIA
Registered Investment Advisory firm - (11/1/2013 Approved)New York
Registered Investment Advisory firm - (11/12/2013 Terminated)Texas
Registered Investment Advisory firm - (11/12/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
278 Mill Street Suite 301, Poughkeepsie, NY 12601
Mailing Address
Phone number
(845) 554-1046
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,598 |
| AUM (Assets Under Management) | $ 995,832,115 |
Red Flags
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Company Information
MARSHALL & STERLING WEALTH ADVISORS, INC.
CRD#: 164345Poughkeepsie, NY 12601TRUST BUT VERIFY
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