John Richard Goldman

Current Employers

Pks Advisory Services, Llc

80 State Street, Albany, NY 12207 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-08

NY RA
APPROVED

Since 2021-04-08

Branch Locations

80 State Street, Albany, NY 12207 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Purshe Kaplan Sterling Investments	Albany	NY	11/1997	Present
Pks Advisory Services	Albany	NY	01/2007	Present

11/1997 → Present

Purshe Kaplan Sterling Investments

Albany, NY
01/2007 → Present

Pks Advisory Services

Albany, NY

Other Businesses

1)PKSA (PKS ADVISORY) 80 STATE ST, ALBANY, NY 12207. RIA/INVESTMENT ADVISOR REP 2) PKS FINANCIAL; INVESTMENT RELATED 80 STATE ST, ALBANY, NY 12207; FIXED INSURANCE; INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE & ANNUITY CONTRACTS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-02-07
S63	Uniform Securities Agent State Law Examination	1997-12-26

S65 Uniform Investment Adviser Law Examination

2006-02-07
S63 Uniform Securities Agent State Law Examination

1997-12-26

View on SEC IAPD

Current Employers

Pks Advisory Services, Llc

Disclosures

Employment History

Other Businesses

Exams

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