JP
James K. Patrick
PKS ADVISORY SERVICES
ALBANY, NY 12207
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CRD#: 1288261
JP
Professional summary
James Knox Patrick III, who also goes by James Knox Patrick III III, is a registered financial advisor currently at PKS ADVISORY SERVICES, LLC located in Albany, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 11 firms and has passed the Series 63, Series 65, Series 22TO, SIE, Series 7, Series 22, Series 24 and Series 39 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Knox Patrick Iii Iii
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.
1) 93 BROADWAY INC; NOT INVESTMENT-RELATED; 37 FOLMSBEE DR. MENANDS, NY 12204; MANAGER; START DATE: 04/31/1992; 2HRS/MO. NON-BUSINESS HRS; OWNS COMMERCIAL REAL ESTATE. 2) PKS ADVISORY SERVICES, LLC; INVESTMENT-RELATED; 80 STATE STREET, ALBANY, NY 12207, 80-120HRS/MO.; ADVISORY SERVICES, RIA. 3) COUNTRY CLUB OF TROY. NOT INVESTMENT RELATED. 100 TROY COUNTRY CLUB ROAD, TROY NY 12180. GOLF COURSE. BOARD MEMBER. START 1/1/2022. 1 HOUR PER MONTH, NOT DURING TRADING. ATTEND MONTHLY BOARD MEETINGS, VOTE ON PROPOSALS.
CRS (Client Relationship Summary) - RIA
Click below to view James Knox Patrick III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 4, 2011 - Present
PKS ADVISORY SERVICES, LLC
Office #1: 80 State Street, Albany, NY 12207RIA
CRD#: 125648
ALBANY, NY
Current
August 11, 2009 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207BD
CRD#: 35747
ALBANY, NY
Past
June 1, 2009 - August 31, 2009
MORGAN STANLEY
RIA
CRD#: 149777
NISKAYUNA, NY
Past
June 1, 2009 - August 31, 2009
MORGAN STANLEY
BD
CRD#: 149777
NISKAYUNA, NY
Past
April 18, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NISKAYUNA, NY
Past
April 1, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NISKAYUNA, NY
Past
October 28, 1999 - December 31, 2002
THOMPSON SIEGEL & WALMSLEY LLC
RIA
CRD#: 105726
RICHMOND, VA
Past
March 6, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
March 6, 1996 - October 17, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
April 16, 1992 - March 14, 1994
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
March 3, 1989 - July 6, 1990
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
September 3, 1985 - May 21, 1987
UNITED EQUITY SECURITIES CORP.
BD
CRD#: 13709
Past
July 20, 1984 - May 14, 1985
POLARIS SECURITIES CORPORATION
BD
CRD#: 13610
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
49 FINANCIAL | WOODLANDS PORTFOLIO MANAGEMENT | WOEHLER FINANCIAL GROUP | WEALTHPATH INVESTMENT ADVISORS | THE O'HAGAN GROUP | STRATEGIC INVESTMENT GROUP | ROYAL HARBOR PARTNERS | ROY MATLOCK JR. ADVISORY | REID FINANCIAL | PREMIER WEALTH ADVISORY GROUP | PORTUS CAPITAL MANAGEMENT | PKS ADVISORY SERVICES, LLC | NATALE WEALTH MANAGEMENT | MELECO WEALTH MANAGEMENT | MACALUSO WEALTH MANAGEMENT GROUP | KAYE RIGGS & ASSOCIATES | J. STEAKLEY WEALTH MANAGEMENT | INTEGRATED ASSET | HERITAGE FINANCIAL GROUP | GROWE CAPITAL ADVISORS | FOREVER YOUNG WEALTH | FINDLEY ADVISORS | FINANCIAL ADVISORS OF SOUTHWEST FLORIDA | FBG ADVISORY | DAVIS BRINKS WEALTH MANAGEMENT | DAE CAPITAL STRATEGIES | CONCENTRIC ADVISORS | CAPITAL SARATOGA WEALTH MANAGEMENT | ALLEGIANT WEALTH MANAGEMENT | ALBANY ADVISOR GROUP
CRD#: 125648 / SEC#: 801-62147
RIA
Registered Investment Advisory firm - (6/20/2003 Approved)New York
Registered Investment Advisory firm - (6/20/2003 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(8/11/2009)
RR
Massachusetts(8/11/2009)
RR
New Hampshire(10/26/2023)
RR
New York(8/11/2009)
IAR
New York(4/8/2021)
RR
North Carolina(10/26/2023)
RR
Pennsylvania(10/26/2023)
RR
Virginia(10/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PKS ADVISORY SERVICES, LLC
49 FINANCIAL | WOODLANDS PORTFOLIO MANAGEMENT | WOEHLER FINANCIAL GROUP | WEALTHPATH INVESTMENT ADVISORS | THE O'HAGAN GROUP | STRATEGIC INVESTMENT GROUP | ROYAL HARBOR PARTNERS | ROY MATLOCK JR. ADVISORY | REID FINANCIAL | PREMIER WEALTH ADVISORY GROUP | PORTUS CAPITAL MANAGEMENT | PKS ADVISORY SERVICES, LLC | NATALE WEALTH MANAGEMENT | MELECO WEALTH MANAGEMENT | MACALUSO WEALTH MANAGEMENT GROUP | KAYE RIGGS & ASSOCIATES | J. STEAKLEY WEALTH MANAGEMENT | INTEGRATED ASSET | HERITAGE FINANCIAL GROUP | GROWE CAPITAL ADVISORS | FOREVER YOUNG WEALTH | FINDLEY ADVISORS | FINANCIAL ADVISORS OF SOUTHWEST FLORIDA | FBG ADVISORY | DAVIS BRINKS WEALTH MANAGEMENT | DAE CAPITAL STRATEGIES | CONCENTRIC ADVISORS | CAPITAL SARATOGA WEALTH MANAGEMENT | ALLEGIANT WEALTH MANAGEMENT | ALBANY ADVISOR GROUP
CRD#: 125648 / SEC#: 801-62147
RIA
Registered Investment Advisory firm - (6/20/2003 Approved)New York
Registered Investment Advisory firm - (6/20/2003 Terminated)Upgrade to AdvisorCheck Premium
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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
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.
