CRD #35747 · FINRA BrokerCheck + SEC IAPD

Purshe Kaplan Sterling Investments

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Purshe Kaplan Sterling Investments ranks #533 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #63 of 868 on the same disclosure sort used on the state browse page. Purshe Kaplan Sterling Investments carries 13 BrokerCheck disclosures across 623 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
623
branch offices
13
disclosures
#533 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 35747 Purshe Kaplan Sterling Investments

Purshe Kaplan Sterling Investments · Grade B · 13 disc · 0.02/office · Large firm

  • CRD 35747
  • GRADE B
  • DISC 13
  • REG 11
  • ARB 2
  • CIV 0
  • BRANCH 623
  • PER-OFF 0.02
  • RANK #533 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Horace Mann Investors, Inc. (0.02 disc/office)

Horace Mann Investors, …0.02Fortune Financial Servi…0.02Valmark Securities, Inc.0.02Purshe Kaplan Sterl… (this)0.02
Disclosures per office among large firm peers (lower is cleaner)

Purshe Kaplan Sterling Investments ranks #533 of 20,055 by disclosure count among graded broker-dealers; light load at 0.02 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

623 offices

FINRA: Large firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

11 actions

85% of all disclosures

Disclosures per office

0.02 per office

13 ÷ 623 offices

Purshe Kaplan Sterling Investments vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 96% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 11
Arbitrations 2
Civil Events 0
Total 13

Counts for Purshe Kaplan Sterling Investments reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 11 Arbitration 2 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Albany, NY
CRD Number
35747

Lower disclosures per office

Purshe Kaplan Sterling Investments in the heavier-disclosure third

Purshe Kaplan Sterling Investments carries 13 BrokerCheck disclosures across 623 branch offices - a heavier-third raw book among graded firms (#533 of 20,055). Regulator-initiated events are 85% of the book (11 regulatory / 2 arbitration / 0 civil).

Purshe Kaplan Sterling Investments runs 0.02 disclosures per branch office (cleaner than 96% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Purshe Kaplan Sterling Investments's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.49× state average

Purshe Kaplan Sterling Investments sits above the New York disclosure average

Purshe Kaplan Sterling Investments reports 13 BrokerCheck disclosures, 1.49× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Purshe Kaplan Sterling Investments sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Purshe Kaplan Sterling Investments ranks #533 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #63 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Purshe Kaplan Sterling Investments?
A grade of B reflects Purshe Kaplan Sterling Investments's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 13 total disclosures across 623 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Purshe Kaplan Sterling Investments have?
Purshe Kaplan Sterling Investments has 13 total FINRA disclosures, including 11 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Purshe Kaplan Sterling Investments?
Purshe Kaplan Sterling Investments operates 623 branch offices and is classified by FINRA as a large firm, registered in NY (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Purshe Kaplan Sterling Investments's disciplinary record?
You can verify Purshe Kaplan Sterling Investments's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 35747. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Purshe Kaplan Sterling Investments's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Purshe Kaplan Sterling Investments because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Purshe Kaplan Sterling Investments carries 13 disclosures across 623 branch offices (about 0.02 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Purshe Kaplan Sterling Investments, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Horace Mann Investors, Inc. (IL) - 0.02 disclosures/office, nearest large firm peer to Purshe Kaplan Sterling Investments's 0.02
  • Fortune Financial Services, Inc. (PA) - 0.02 disclosures/office, nearest large firm peer to Purshe Kaplan Sterling Investments's 0.02
  • Valmark Securities, Inc. (OH) - 0.02 disclosures/office, nearest large firm peer to Purshe Kaplan Sterling Investments's 0.02
  • Firms in NY - state roster that includes Purshe Kaplan Sterling Investments's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Purshe Kaplan Sterling Investments.
  • Reading BrokerCheck Reports - How Purshe Kaplan Sterling Investments's 0.02 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Purshe Kaplan Sterling Investments.
  • Compare firms - put Purshe Kaplan Sterling Investments next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.