Brokers and/or Brokerage firms may be reviewed utilizing FINRA’s BrokerCheck Login Start a conversation Locations 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 DISCLOSURES Regulation Best Interest Disclosures Business Continuity Commission & Fee Schedule Order Execution POLICIES Legal Notice Privacy Notice PKS Investments © 1999-2021 The Purshe Kaplan Sterling Investments policy for the use of information entrusted to us is available for review here –Privacy Policy CLOSE