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20 Corporate Woods Blvd.. Suite 400, Albany, NY 12211-2396 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-21 |
Branch Locations
20 Corporate Woods Blvd.. Suite 400, Albany, NY 12211-2396 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pks Advisory Services, Llc | Albany | NY | 09/2006 | 12/2022 |
| Purshe Kaplan Sterling Investments, Inc | Albany | NY | 12/2006 | Present |
| Albany Advisor Group, Llc | Albany | NY | 10/2021 | Present |
1) PKS FINANCIAL; INVESTMENT RELATED; 80 STATE ST, ALBANY, NY 12207; FIXED INSURANCE; INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE & ANNUITY CONTRACTS START DATE: 1/23/06 2) AAG Business Management, LLC. Not Investment Related. 36 Columbine Drive, Glenmont NY 12077. Operating Entity. General Partner. Start 6/2020. 10 hours per month during trading. Pass-thru entity for expenses/facilities Leasing of Office Space, Employment for sales assistant, independent contractor coordination. 3) Insurance Business - Wealth Advisory Group, LLC; Investment Related; 1207 Troy Schenectady Road, Latham, NY 12110; Fixed Insurance; Agent; 10/31/2022; 2 hrs/mo; 2 hrs during trading; Sell Fixed Insurance products for clients that require them. 4) AAG Insurance Services LLC; Investment Related; at Registered Branch office location; Fixed Insurance; Owner; Start Date: 9/2023; 4 hrs/mo; 4 hrs during trading; Collection and reconciliation of insurance commissions and overrides.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-03-02 |
| S65 | Uniform Investment Adviser Law Examination | 2006-08-28 |
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