John Kevin Rooney

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	08/1996	Present
Pks Advisory Services, Llc	Albany	NY	05/2007	Present

08/1996 → Present

Purshe Kaplan Sterling Investments

Albany, NY
05/2007 → Present

Pks Advisory Services, Llc

Albany, NY

Other Businesses

1) PKSA, INVESTMENT RELATED, 80 STATE ST, ALBANY, NY 12207, RIA, IAR 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	2007-05-03
S63	Uniform Securities Agent State Law Examination	1983-12-13

S65 Uniform Investment Adviser Law Examination

2007-05-03
S63 Uniform Securities Agent State Law Examination

1983-12-13

View on SEC IAPD

Current Employers

Pks Advisory Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews