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Modesto A Lugo

Purshe Kaplan Sterling Investments

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About Modesto A Lugo

Modesto Lugo is a financial professional with over 20 years of experience in the securities industry. Modesto currently works at Purshe Kaplan Sterling Investments in Albany, New York. Modesto has a strong background in securities trading and has held several positions at various firms. Modesto holds a variety of licenses and certifications including Series 7, Series 24, Series 52TO, Series 53, Series 55, Series 57TO and the SIE. Modesto is registered in several states including New York, Nevada, Massachusetts, Pennsylvania, Arizona, Utah, California, and Missouri.

Firm Information

Modesto Lugo 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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Modesto Lugo’s Registration & Firm History

NY

09/24/2009 - Present

Purshe Kaplan Sterling Investments (ALBANY NY)

NY

09/12/2008 - 03/23/2009

INVEST FINANCIAL CORPORATION (LATHAM NY)

NY

11/28/2007 - 07/15/2008

PHOENIX EQUITY PLANNING CORPORATION (EAST GREENBUSH NY)

NY

04/09/2003 - 09/11/2007

MASTERTRADER.COM (WHITE PLAINS NY)

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Licenses & Designations

BC

Issued 12/28/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/26/2022

Series 53 - Municipal Securities Principal Examination

BC

Issued 11/09/2020

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/2005

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/07/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Modesto A Lugo.
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