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Nicholas A. Allsop

PURSHE KAPLAN STERLING INVESTMENTS
Boston, MA 02116
Some features on this profile are disabled
CRD#: 7861430
NA
Nicholas Anthony AllsopPURSHE KAPLAN STERLING INVESTMENTS

Professional summary

Nicholas Anthony Allsop, who also goes by Nick Allsop, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Boston, Massachusetts.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2024. Nicholas has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Aliases

Nick Allsop

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 Nicholas Anthony Allsop'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

July 10, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 20 Newbury St Fl 3, Boston, MA 02116Office #2: 80 State Street, Albany, NY 12207
BD
CRD#: 35747
Boston, MA
Past

March 4, 2024 - July 2, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Boston, MA

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
California
(7/10/2026)
RR
Connecticut
(7/10/2026)
RR
Maryland
(7/13/2026)
RR
Massachusetts
(7/10/2026)
RR
New York
(7/10/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/4/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/23/2023
Securities Industry Essentials 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)

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.

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Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Boston, MA 02116

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