Products PKS is a SEC registered broker/dealer and a member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB). PKS maintains direct relationships with every major Investment Company, and all major, non-captive insurance companies which allow PKS to offer mutual funds, college savings plans, variable products, alternative investments and access to many of the top professional money managers in the country. Additionally, PKS clears through National Financial Services, LLC (“NFS”). NFS supplies PKS and our clients with trade execution and an extensive array of products and services. These products and services include equity and fixed income products, mutual funds, alternative investments, and retirement planning. Products Equity & Fixed Income Learn More Products Mutual Funds and Annuities Learn More Products Alternative Investments Learn More Products College Savings Learn More Products Retirement Planning Learn More Products Protecting Client Assets Learn More

Who We Are Purshe Kaplan Sterling Investments (“PKS”) is a full-service broker/dealer and financial services firm headquartered in Albany, New York. The Firm traces its roots to 1993 when it began as a regional brokerage firm. PKS has grown substantially over the past decade and now has over 600 offices and more than 1,600 Registered Representatives operating in a classic open architecture environment. PKS is registered with the U.S. Securities and Exchange Commission and is a member of FINRA and the Municipal Securities Rulemaking Board. PKS clears its trades through National Financial Services LLC, offering state-of-the-art products and technology to our Registered Representatives. In addition, PKS provides access to every major Investment Company, hundreds of Variable Annuity products and access to some of the top professional money managers in the country. PKS is committed to providing its Registered Representatives with the freedom to offer clients a full spectrum of investment choices. PKS does not own investment products. The absence of proprietary products coupled with unrestricted access to investment products provides our Registered Representatives with the flexibility to help you achieve your investment objectives. Who We Are Management Team Learn More Who We Are Locations Learn More