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David Connors

Pks Advisory Services, LLC
26 Years of Experience
Albany, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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David Connors is a registered investment advisor at Pks Advisory Services, LLC, based in Albany, NY, with 26 years of industry experience. David 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.

Pks Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
46 advisors
Number of Clients
4,892 clients
Average Client Portfolio
$223K average
Assets Under Management
$1.1B

Fee Structure

Minimum Investment:None
Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The annual fee varies up to 2.00% depending on assets under management, services rendered, and advisor experience. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

80 State Street, Albany, NY, 12207

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History

Regulatory History (1)
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.
Customer Dispute
March 2021
Settled
View Full SEC ReportHow to Read Disclosures
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 · 8 yrs 4 mos
Purshe Kaplan Sterling InvestmentsBroker
June 2018 - Present · 8 yrs 4 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
DCFLMANCNHNJNYRITNTXVTWA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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