Management Team

J. Peter Purcell

Chief Executive Officer

Mr. Purcell is a founding partner of Purshe Kaplan Sterling Investments, and serves as Chief Executive Officer. Under Mr. Purcell’s leadership, PKS has grown into a nationally-recognized independent broker/dealer with a strong commitment to excellence.

Mr. Purcell has long championed the “open-architecture,” or hybrid, model of providing quality product, services and advice to the public. Prior to starting PKS in 1993, Mr. Purcell was a managing partner in an SEC Registered Advisory firm; this provided him a unique perspective in determining the structure and direction of PKS’ business model. Recognizing the need for RIAs to have access to traditional brokerage products and services, Mr. Purcell and his partners developed a visionary and unique model to service the commissionable-brokerage needs of dually-licensed advisors and registered representatives. Mr. Purcell and PKS remain committed to the independent, open-architecture model and will continue to champion that model, which we consider the future of the advisory and brokerage industry.

Katherine M. Flouton

President

Katherine (Kathy) Flouton is the President of PKS. During her tenure at PKS, Kathy has been in many roles.  She joined PKS in 1997 as an Operations Clerk, where she performed all back-office operational functions.  Within just 5 years of joining PKS, she was promoted to Director of Operations and served in that capacity until April of 2010, when she was promoted to a dual role of Chief Operating Officer and Director of Supervision.   As Director of Supervision, she managed a team of highly qualified supervisors that serve as relationship managers for the firm’s registered representatives and are primarily responsible for all account and trade approvals.  In 2019, due to the growth of the firm and the increase in registered reps, PKS promoted another employee to relieve Kathy of her role as the Director of Supervision.  As the Chief Operating Officer, Kathy was actively involved in the firm’s day-to-day operations.  In 2021 Kathy was promoted to her current role of President where she remains actively involved in the firm’s day-to-day operations and is instrumental in the overall management and corporate initiatives of the firm.

Prior to working at PKS, Kathy was employed at a law firm as a paralegal that specialized in public sector labor law and personal injury.  Kathy holds the Series 7, 63, and 24. She is also life, accident, and health licensed in New York State and is a notary public.

Michael Carrillo

Director of Operations

Mike Carrillo originally joined PKS in 2007 and was promoted to Director of Operations in early 2010.

During his tenure as Director of Operations, Mike worked very closely with our Trading, Institutional Sales, Supervisory and Compliance Departments. He subsequently became PKS’ Chief Risk Officer in 2019. From 2021 to 2024, Mike helped form an SEC-Registered RIA and held a CCO/COO role for that firm. Mike now returns to PKS to oversee the Operations department and work cooperatively with the firm’s supervisory team to streamline business processing efficiency.

Mike graduated with a Bachelor’s Degree in Business Economics from SUNY Oneonta. He holds Series 7, 63, 65 & 24 securities licenses.

Timothy Linehan

Integration Director

Tim Linehan joined PKS in 2011 as an Operations Assistant, was promoted to Assistant Director of Operations in 2014, and then Director of Operations in 2019.  During his Tenure in Operations, he worked closely with all departments within the firm as well as its growing network of Registered Representatives, transferring in and servicing their business.

In 2024, he began the Integration Director role, which was a natural progression as he has been a key stakeholder in strategic project implementation surrounding workflow efficiency and ETL function with PKS’s technology and platform providers.

Tim graduated from Coastal Carolina University with a Bachelor of Science in Finance.  He holds FINRA Series 7, 63 and NYS Life Accident & Health Insurance licensure.

Tracey Bohley

Chief Financial Officer

Tracey Bohley joined the Operations team at PKS in 2000 as an Operations Assistant. In 2002, Tracey was promoted to Assistant Director of Operations and in 2006 she transitioned to the Accounting Department as a Commission Manager. In 2015, Tracey was promoted to Assistant Controller where she worked closely with the CFO on accounting, financial reporting and commission processing. In 2021, Tracey was promoted to Chief Financial Officer.

Before joining PKS, Tracey worked at First Albany Corporation as a Retirement Specialist.

Along with an accounting degree, she holds the Series 7, Series 27 and Series 63.

Jason W. Day

Sr. VP – Director of Business Development

Jason Day joined PKS in 2012 as a specialist for the Conversions and Deployment Department and was responsible for the on-boarding of new registered reps to the PKS platform. In 2017, Jason was promoted to Assistant Director of Institutional Sales where he fielded sales inquiries, spoke with prospects interested in joining PKS, and managed all aspects of the conversion process for individuals that transitioned to PKS.

In his current role as Director of Business Development, Jason runs the firm’s Institutional Relationship Management and Business Development efforts.

Prior to joining PKS, Jason worked as an Associate Wealth Advisor with Northwestern Mutual as well as a Fixed Income/Block Equity Trader for BrownCo., a JP Morgan Invest company.

Jason currently holds the Series 7 and 63 licenses. He is also life, accident and health insurance licensed in New York State.

Daniel O’Neill

Sr. VP – Director of Transition Services

Daniel O’Neill joined PKS in 2011 as a Conversion Specialist and was promoted to Director of Transition Services in 2019.

As Director of Transition Services, Daniel oversees the onboarding of new registered representatives joining Purshe Kaplan Sterling Investments. Previously, Daniel worked for Morgan Stanley, UBS, and Merrill Lynch.

Daniel has a Bachelor’s Degree in Finance and a Master’s Degree in Business Administration from Wagner College. He holds the Series 7, 66, 24, and 53 securities licenses as well as a NYS Life Accident & Health Insurance license