James Patrick is a registered investment advisor at Pks Advisory Services, LLC, based in Albany, NY, with 32 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Education Planning, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 4,892 clients with $1.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
The annual fee varies up to 2.00% depending on assets under management, services rendered, and advisor experience. Fees are negotiable.
Fee Estimator
Location
80 State Street, Albany, NY, 12207
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James manages commercial real estate through 93 Broadway Inc, dedicating minimal time. He also provides advisory services as part of PKS Advisory Services, LLC, taking nearly full-time hours, and serves as a board member for the Country Club of Troy, spending minimal time.
Employment History
Current Registrations
Pks Advisory Services, LLC
Purshe Kaplan Sterling InvestmentsBroker
Previous Registrations
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Thompson Siegel & Walmsley INC
John Hancock Distributors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
Uslife Equity Sales CORP.Broker
Hartford Equity Sales Company INC.Broker
United Equity Securities CORP.Broker
Polaris Securities CorporationBroker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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