Purshe Kaplan Sterling Investments

With offices in over 100 cities throughout the country, Purshe Kaplan Sterling Investments is an Albany, New York-based firm, which truly has a local presence and a national reach. PKS is a FINRA registered broker/dealer with access to every major Investment Company and hundreds of Variable Annuity products and access to some of the top professional money managers in the country.

PKS offers its employees a full-range of benefits and the most competitive compensation package in the business. Our commitment to excellence is reflected in everything we do at PKS, from our benefits package to the freedom our Investment Executives have to exercise their entrepreneurial spirit. There are no proprietary products at PKS. Our Investment Executives have the flexibility to create a total financial solution for each client. We furnish the environment so that our Investment Executives can concentrate on what they do best; attract and retain assets.

When you combine our innovative technology with that supplied by our clearing firm, National Financial Services, LLC., it becomes clear that PKS excels in the four essential elements of securities brokerage: trading, operations, compliance and technology.

Message from the CEO

As CEO of Purshe Kaplan Sterling Investments, I would like to take this opportunity to welcome you to our web portal. PKS was founded in 1993 as a privately held company with a vision of providing investment executives with superior service, cutting edge technology and innovative products. We partner with investment professionals who represent the best in the industry and now, with over 140 branches across the United States, PKS is recognized by our industry partners, clients and peers as a premier broker-dealer for successful investment executives and financial advisers.

We understand careers at PKS and each member of our team brings something unique to the equation. Investment professionals and their clients are our main priority and this commitment is reflected in everything we do at PKS. We offer our investment professionals the freedom to exercise their entrepreneurial spirit. There are no proprietary products at PKS; our investment executives have the flexibility to create a total financial solution for each client. We furnish the environment so that they can concentrate on best servicing the needs of their clientele.

If you are an investment professional looking for a broker/dealer that fosters an entrepreneurial environment, integrated technology solutions that streamline business and a generous compensation structure, or an investor looking for a commitment to excellence in service and an experienced management team with decades of relevant industry experience, PKS is your best option.

Enjoy our web portal and again, thank you for your interest in PKS.

The PKS Mission

Still waters run deep. What appears calm on the surface may mask dynamic activity below. Successful investing requires a deep understanding of what lies beneath the surface. Purshe Kaplan Sterling understands this relationship. We also understand and revere the most critical investment relationship-that between you and your Investment Executive. Purshe Kaplan Sterling is as judicious in selecting an Investment Executive as you must be.

Each Purshe Kaplan Sterling client, including CEOs, high profile professional athletes and large institutions, has unique goals and objectives. PKS Investment Executives understand these needs and have time-tested expertise in managing these relationships. Long-term relationships built on trust and confidence empower the Investment Executive to assist in making the right decisions for your future, based on personal experience with your investment history.

Purshe Kaplan Sterling brings all key services under one roof to create a total financial solution for each client. Our umbrella covers all the services required to manage your financial needs including employee benefits, investments, trading, insurance and estate planning. Strategic affiliations allow us to direct clients to qualified professionals for legal, accounting, financial advisery and consulting, structured products and other support services.

Purshe Kaplan Sterling created and continues to cultivate an environment where experienced Investment Executives possess the freedom to search the entire marketplace to help you secure your financial future. We are not encumbered by proprietary products or proprietary thinking. Time tested strategies, combined with our constant search for new directions, allow us to tailor an investment program that always fits and grows with you.

PKS Executive and Management Team

PKS is 100-percent owned and controlled by the executive management of the firm. The ownership has been stable and consistent since 1993. The Partners at PKS have a combined eighty-five years of industry experience. We feel that it is not only our tenure in the areas of securities, corporate finance and investment banking, law and accounting that drive our competitive advantage in strategic issues, but our breadth of knowledge in these fields of study that ultimately benefits our investment executive and their clients.

Moreover, our group heads in operations, compliance, supervision and deployment average 10 years of industry experience. These individuals understand that our Investment Executives and their clients are the main priority at PKS. Our commitment to service is unwavering and our management teams’ experience is an invaluable asset to prospective investment executives, independent advisers thinking about joining our platform on a dually-licensed basis and most importantly, to end clients who deserve the highest attention to detail in any and all communication with PKS. Our management team is “committed to excellence” in everything they do.