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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Knox Patrick III is an investment advisor representative at PKS Advisory Services, LLC, a registered investment advisor. James has been in the financial services industry since 1994. James holds the Series 63, 65, 7, 22, 24, and 39 securities licenses, and is registered as an investment advisor in several states including New York, Florida, Massachusetts, and others. James specializes in financial planning, pension consulting, selection of other advisors, and portfolio management for both businesses and individuals. James has experience with a variety of client types including corporations or other businesses, high-net-worth individuals, and individuals other than high-net-worth.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
04/08/2021 - Present
PKS Advisory Services, LLC (ALBANY NY)
NY
06/01/2009 - 08/31/2009
MORGAN STANLEY SMITH BARNEY (NISKAYUNA NY)
NY
04/01/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NISKAYUNA NY)
MA
03/06/1996 - 10/17/1997
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
03/06/1996 - 05/01/1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
NY
04/16/1992 - 03/14/1994
USLIFE EQUITY SALES CORP. (NEW YORK NY)
CT
03/03/1989 - 07/06/1990
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
NA
09/03/1985 - 05/21/1987
UNITED EQUITY SECURITIES CORP.
NA
07/20/1984 - 05/14/1985
POLARIS SECURITIES CORPORATION
BC
Issued 04/07/2005
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/13/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/1985
Series 24 - General Securities Principal Examination
BC
Issued 08/20/1985
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2005
Series 7 - General Securities Representative Examination
BC
Issued 07/19/1984
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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