DC
DC

David Walsh Connors

25 Years of Experience
1 DisclosureBrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & Coaching
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
45 advisors
Number of Clients
4,416 clients
Average Client Portfolio
$205K average
Assets Under Management
$905.4M

Fee Structure

Financial Planning:Included in AUM fee
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Location

80 State Street, Albany, NY, 12207

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History

Regulatory History (1)
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Customer Dispute
March 2021
Settled
Other Business ActivitiesSells Insurance

David works as an advisor for PKS Advisory, dedicating full-time hours to this role. He also works as an insurance agent selling fixed insurance, spending a few hours per week on this activity, and serves in an advisory role on the board of directors and finance committee for the Pride Center of the Capital Region, spending minimal time.

Employment History
Current Registrations
Pks Advisory Services, LLC
June 2018 - Present · 7 yrs 8 mos
Purshe Kaplan Sterling InvestmentsBroker
June 2018 - Present · 7 yrs 8 mos
Previous Registrations
RBC Capital Markets, LLC
April 2012 - June 2018 · 6 yrs 2 mos
RBC Capital Markets, LLCBroker
February 2012 - June 2018 · 6 yrs 4 mos
Midamerica Financial Services, INC.Broker
January 2012 - February 2012 · 1 mo
Transamerica Capital, INC.Broker
November 2008 - October 2011 · 2 yrs 11 mos
Riversource Distributors, INC.Broker
May 2007 - November 2008 · 1 yr 6 mos
Pioneer Institutional Asset Management, INC.
April 2006 - March 2007 · 11 mos
Pioneer Investment Management, INC.
May 2004 - April 2006 · 1 yr 11 mos
Pioneer Funds Distributor, INC.Broker
April 2004 - March 2007 · 2 yrs 11 mos
John Hancock Advisers, LLC
June 2003 - May 2004 · 11 mos
Sovereign Asset Management Corporation
April 2003 - May 2004 · 1 yr 1 mo
John Hancock Funds, LLCBroker
May 2001 - April 2004 · 2 yrs 11 mos
Signator Investors, INC.Broker
December 1999 - April 2001 · 1 yr 4 mos
State Registrations12 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.