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80 State Street, Albany, NY 12207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-21 |
| NY | RA | APPROVED | 2021-04-08 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments, Inc. | Albany | NY | 04/2010 | Present |
| Pks Advisory Services, Llc | Albany | NY | 04/2010 | Present |
1) PKSA (PKS ADVISORY) 80 STATE ST, ALBANY, NY 12207. RIA/INVESTMENT ADVISORY REP 2) FIXED INSURANCE- PKSF, INVESTMENT RELATED. 80 STATE ST, ALBANY, NY 12207. INVESTMENT RELATED. SELL FIXED INSURANCE FINANCIAL ADVISOR. START DATE APRIL 1, 2010. 5 HOURS MONTH. 5 SECURITIES HOURS. SELLING FIXED AND LIFE INSURANCE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-23 |
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