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80 State Street, Albany, NY 12207 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-08 |
Branch Locations
80 State Street, Albany, NY 12207 • United States
3 Hemphill Place Suite 114, Malta, NY 12020 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany | NY | 01/2005 | Present |
| Pks Advisory Services, Llc | Albany | NY | 05/2013 | Present |
1) PKSA- INVESTMENT RELATED. 80 STATE ST, ALBANY, NY 12207. IAR. 05/2013. 45 HRS/MO. ADVISE CLIENTS ON INVESTMENTS 2) PKS FINANCIAL, 80 STATE ST, ALBANY, NY 12207. INVESTMENT RELATED, INDEPENDENT INSURANCE AGENT, 6/2014-PRESENT. 10 HRS/MONTH, 1-3 HRS/MONTH DURING TRADING. DUTIES INCLUDE SALES OF INSURANCE PRODUCTS AND FIXED ANNUITIES. 3) Empire State Legacy Holdings, LLC; Not Investment Related; 627 Timberside Court, Albany NY 12203; LLC; Limited Liability Corporation; Owner; 10/20/2020; 0 hrs/month; 0 hrs during trading; created for tax purposes and to mitigate business liability
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 2013-02-11 |
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