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Mary Luu

Purshe Kaplan Sterling Investments

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About Mary Luu

Mary Luu is a Registered Representative associated with Purshe Kaplan Sterling Investments. Mary has a Series 99TO and a SIE license, and her registration began on 3/18/2024. Mary is currently located in Albany, New York, where Purshe Kaplan Sterling Investments has a branch office.

Firm Information

Mary Luu is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Mary Luu’s Registration & Firm History

NY

03/18/2024 - Present

Purshe Kaplan Sterling Investments (ALBANY NY)

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Licenses & Designations

BC

Issued 03/13/2024

Series 99TO - Operations Professional Examination

BC

Issued 08/10/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mary Luu.
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