Frances Mary Harrison | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Frances Mary Harrison, who also goes by Frances Mary Burns, Frances Mary Mccormick, was a registered financial professional .

Frances is a previously registered financial professional and started their career in finance in 1982. Frances had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Frances Mary Burns | Frances Mary Mccormick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 27, 2012 - September 15, 2017

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

ALBANY, NY

Past

April 9, 2010 - September 11, 2017

PURSHE KAPLAN STERLING INVESTMENTS

BD

CRD#: 35747

ALBANY, NY

Past

June 1, 2009 - April 26, 2010

MORGAN STANLEY

BD

CRD#: 149777

ALBANY, NY

Past

July 24, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

ALBANY, NY

Past

July 3, 1990 - July 31, 2000

GLEACHER & COMPANY SECURITIES, INC.

BD

CRD#: 298

NEW YORK, NY

Past

February 15, 1988 - July 25, 1990

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, NY

Past

April 20, 1985 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD

CRD#: 235

Past

December 14, 1983 - April 24, 1985

ADVEST, INC.

BD

CRD#: 10

Past

March 12, 1982 - January 4, 1984

FORESTERS FINANCIAL SERVICES, INC.

BD

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 3/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 9/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 2/18/1984

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 3/1/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

Phone number

(518) 426-5791

Established

Firm type

Fiscal year end

# of Employees

49

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,419
AUM (Assets Under Management)	$ 905,367,391

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Frances M. Harrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

GLEACHER & COMPANY SECURITIES, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

ADVEST, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PKS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/1998

Series 63

Date: 3/2/1984

SIE

Date: 9/11/2017

Series 7

Date: 2/18/1984

Series 6

Date: 3/1/1982

Current Firm

PKS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PKS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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