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80 State Street, Albany, NY 12207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-12-01 |
| 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 |
|---|---|---|---|---|
| Rbc Capital Markets, Llc | Albany | NY | 02/2012 | 06/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 06/2018 | Present |
| Pks Advisory | Albany | NY | 06/2018 | Present |
(1) PKS Advisory-Investment related-80 State Street, Albany NY 12207-RIA-Advisor-6/2018-160 hrs/mth-100% during tradings hrs-Financial Advisor. (2) Fixed Insurance- Not investment related-80 State Street, Albany NY 12207-Insurance-Insurance Agent-6/2018-10 hrs/mth-100% during trading hrs-Sell fixed insurance. (3) PRIDE CENTER OF THE CAPITAL REGION; ADDRESS: 322 HUDSON AVE, ALBANY, NY 12210; BUSINESS DESCRIPTION: NON-PROFIT; NOT INVESTMENT RELATED; START DATE: 02/01/2017; CAPACITY: BOARD OF DIRECTORS, FINANCE COMMITTEE; DUTIES: ADVISORY ROLE; HOURS DEVOTED PER WEEK: 30 MIN; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-04 |
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