Ian Mindas

HAMILTON, NJ 08690

CRD#: 7474565

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Professional summary

Ian Mindas was a registered financial advisor .

Ian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Ian had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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 Ian Mindas'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

May 26, 2026 - Present

Office #1: 2277 Route 33 Suite 415, Hamilton, NJ 08690

HAMILTON, NJ

Current

May 26, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 2277 Route 33 Suite 415, Hamilton, NJ 08690Office #2: 80 State Street, Albany, NY 12207

CRD#: 35747

Hamilton, NJ

Past

January 19, 2024 - May 28, 2026

OSAIC WEALTH, INC.

RIA

CRD#: 23131

HAMILTON, NJ

Past

January 19, 2024 - May 28, 2026

OSAIC WEALTH, INC.

CRD#: 23131

HAMILTON, NJ

Past

July 14, 2022 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

HAMILTON, NJ

Past

March 19, 2022 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

HAMILTON, NJ

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.

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

New Jersey
(5/26/2026)

IAR

New Jersey
(5/26/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/11/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/19/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/5/2022

Securities Industry Essentials 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

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.

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Ian Mindas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ian Mindas's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2022

Series 7TO

Date: 3/19/2022

SIE

Date: 2/5/2022

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

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