Liam D. Munro
Professional summary
Liam Duncan Munro, who also goes by Liam D Munro, Liam Munro, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Liam is registered as a RR (Registered Representative) and started their career in finance in 2021. Liam has worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Liam Duncan Munro's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 11, 2024 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207September 11, 2024 - November 20, 2024
LPL FINANCIAL LLC
May 1, 2023 - July 16, 2024
NYLIFE SECURITIES LLC
May 25, 2021 - January 3, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, 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
(11/11/2024)
Exams
Series 99TO
Date: 11/7/2025
Operations Professional ExaminationSeries 7TO
Date: 1/31/2025
General Securities Representative ExaminationSeries 6TO
Date: 5/25/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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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