Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
45 advisors
Number of Clients
4,416 clients
Average Client Portfolio
$205K average
Assets Under Management
$905.4M

Fee Structure

Financial Plan Fee:$500 - $1,000

PKS Advisory Services charges fixed fees for financial planning and consulting, generally ranging from $500 to $1,000. Investment management services are charged an annual fee based on a percentage of assets under management, up to 2.75%. The annual fee varies depending on the market value of assets, the type of services, and the experience of the advisor. Clients also incur additional fees charged by third parties such as broker-dealers and custodians.

Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningTax PlanningFinancial Planning & Coaching
Loading...

Advisor Information

Office location

80 State Street, Albany, NY, 12207

Get directions
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
February 2008
Final
Employment Separation After Allegations
February 2008
Other Business ActivitiesSells Insurance

Carl is an investment advisor representative (IAR) at PKS Advisory, dedicating full-time hours to this role. He also works as an agent for PKS Financial Services, selling fixed insurance products.

Employment History
Current Registrations
Pks Advisory Services, LLC
January 2015 - Present · 11 yrs
Purshe Kaplan Sterling InvestmentsBroker
September 2012 - Present · 13 yrs 4 mos
Previous Registrations
Dinosaur Securities, L.L.C.Broker
January 2010 - September 2012 · 2 yrs 8 mos
Mcginn, Smith & Co., INC.Broker
August 2008 - December 2009 · 1 yr 4 mos
Wachovia Securities, LLC Broker
March 2008 - March 2008 · 0 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
December 2000 - February 2008 · 7 yrs 2 mos
State Registrations3 states
CTNYPA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.