FD
Frank K. Dyer
PKS ADVISORY SERVICES
ALBANY, NY 12207
Some features on this profile are disabled
CRD#: 1395696
FD
Professional summary
Frank Kirk Dyer, who also goes by Frank Dyer, 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.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Frank has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Dyer
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. St Pius X Finance Committee. Not Investment Related. Crumite Road, Albany, NY 12211. School and Church. Volunteer. 2013. 2 Hrs/Mo; 0 During Trading Hours. Work with the Other Board Members and Discuss the Finances of Both the Church and School. Not Involved in Any Investment Decisions.
2. Teresian House Foundation Board. Not Investment Related. Washington Avenue Ext, Albany, NY 12207. Nursing Home. Volunteer. 2010. 2 Hrs/Mo; 0 During Trading Hours. Help with Running of Fund Raising Activities. Not Involved in any Investment Decisions.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Kirk Dyer'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
June 16, 2021 - Present
PKS ADVISORY SERVICES, LLC
Office #1: 80 State Street, Albany, NY 12207RIA
CRD#: 125648
ALBANY, NY
Current
September 16, 2020 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207BD
CRD#: 35747
ALBANY, NY
Current
May 17, 2021 - Present
BROADSTONE SECURITIES
Office #1: 80 State Street, Albany, NY 12207BD
CRD#: 101600
ALBANY, NY
Past
June 17, 2021 - July 1, 2021
MICHIGAN ADVISORS, INC
RIA
CRD#: 124064
ALBANY, NY
Past
December 6, 2018 - October 5, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CLIFTON PARK, NY
Past
December 6, 2018 - October 5, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CLIFTON PARK, NY
Past
March 31, 2017 - August 24, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALBANY, NY
Past
January 5, 2017 - August 24, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
ALBANY, NY
Past
October 6, 2010 - November 15, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
JOHNSTOWN, NY
Past
December 1, 2008 - November 15, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
JOHNSTOWN, NY
Past
February 9, 2007 - November 24, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DEWITT, NY
Past
February 9, 2007 - November 24, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DEWITT, NY
Past
January 30, 2004 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
WILLIAMSVILLE, NY
Past
January 30, 2004 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
WILLIAMSVILLE, NY
Past
July 1, 2003 - February 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 23, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 30, 1994 - March 24, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 26, 1988 - July 11, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
August 20, 1985 - March 16, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
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
New York(9/16/2020)
IAR
New York(6/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/4/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
