Lon C. Merritt

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CRD#: 822735

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Lon Christie Merritt, CFP® was a registered financial professional .

Lon is a previously registered financial professional and started their career in finance in 1976. Lon had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

1) CS Planning Corp dba Master Planners & Associates. At registered location. RIA. Investment Advisor Representative. Start: 09/2022. 120 hrs/month; all during trading hours. Portfolio management and client services. 2) Fixed Insurance. Investment-related. At registered location. Fixed / Traditional Insurance. Agent. Start: 02/2023. 5 hrs/month all during trading hours. Provide insurance advice based on the needs of client(s). 3) PKSF. Investment-related. At registered location. Fixed / Traditional Insurance. Agent. Start: 02/2023. 5 hrs/month all during trading hours. Sales of fixed / traditional insurance products. 4) Master Planners & Associates, LLC. Not investment-related. At registered location. Accounting / Tax Prep. Owner & LLC Manager. Start: 01/2002. 40 hrs/month; 15 during trading hours. Finalizing Tax Returns 5) The Federated Church of West Winfield NY. Not investment-related. Located at 452 East Main Street, West Winfield, NY 13491-2103. Non-Profit Organization. Chairperson of the Finance Board. Start: 01/1995. 2 hrs/month; none during trading hours. Preside over monthly meetings of the Finance Board. The Finance Board oversees the Church Finances, approves the Church's Annual Budget for submission to the Church Council, approves the annual Stewardship program and holds an annual dinner. 6) LCM Management Inc. Not investment-related. At registered location. Real Estate. President & CEO. Start: 12/2002. 3 hrs/month; none during trading hours. Decisions on leases and billing, and accounting/tax preparation.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Start date: 1985

Experience

Past

February 16, 2023 - September 3, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

New Hartford, NY

Past

September 1, 2022 - May 1, 2025

CS PLANNING CORP

RIA

CRD#: 149937

New Hartford, NY

Past

November 24, 2008 - September 6, 2022

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

NEW HARTFORD, NY

Past

October 2, 1989 - September 6, 2022

CADARET, GRANT & CO., INC.

CRD#: 10641

NEW HARTFORD, NY

Past

November 18, 1986 - October 2, 1989

CADARET, GRANT & CO., INC.

CRD#: 16404

Past

April 16, 1985 - November 24, 1986

FSC SECURITIES CORPORATION

CRD#: 7461

Past

May 21, 1976 - May 3, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

May 21, 1976 - May 3, 1985

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

May 21, 1976 - May 3, 1985

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 5/13/1976

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/29/1991

General Securities Principal Examination

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Lon C. Merritt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CS PLANNING CORP

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

FSC SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERICAN EXPRESS FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1986

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1985

Series 1

Date: 5/13/1976

Series 24

Date: 1/29/1991

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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