GB
Gregory A. Baldwin
PKS ADVISORY SERVICES
PALM SPRINGS, CA 92262
Some features on this profile are disabled
CRD#: 1476397
GB
Professional summary
Gregory Allen Baldwin, who also goes by Greg Baldwin, is a registered financial advisor currently at PKS ADVISORY SERVICES, LLC located in Palm Springs, California and PURSHE KAPLAN STERLING INVESTMENTS located in Palm Springs, California.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Gregory has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Greg Baldwin
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) PKSF- Investment related-80 State St, Albany, NY 12207-Insurance Brokerage-Insurance Agent-12/2015-10 hrs/mth-100% during trading hrs-Provides fixed insurance products for clients. 2) PKS Advisory Services. Investment Related. 80 State St, Albany, NY 12207. Investment Advisory. IAR. 07/2016. 30-40 Hrs/Mo; 30-40 During Trading Hours. IAR with PKSA. 3) Matrix Insurance & Business Solutions, Inc. Not Investment Related. 8800 SE Sunnyside Road, Suite 213N, Clackamas, OR 97015 & 2295 Tamarisk Road, Palm Springs, CA 92262 Personal Insurance; Business Insurance; Employee Benefits. President. 03/2017. 120 Hrs/Mo; All During Trading Hours. Sales of Insurance Products to Individuals and Businesses.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Allen Baldwin'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
July 18, 2016 - Present
PKS ADVISORY SERVICES, LLC
Office #1: 1091 N Palm Canyon Drive Suite #4, Palm Springs, CA 92262RIA
CRD#: 125648
PALM SPRINGS, CA
Current
January 2, 2015 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 2295 Tamarisk Road, Palm Springs, CA 92262BD
CRD#: 35747
Palm Springs, CA
Past
December 3, 2014 - December 31, 2020
MATRIX WEALTH MANAGEMENT, INC.
RIA
CRD#: 172037
CLACKAMAS, OR
Past
January 3, 2007 - December 31, 2014
FSIC
RIA
CRD#: 37813
PORTLAND, OR
Past
January 3, 2007 - December 31, 2014
FSIC
BD
CRD#: 37813
PORTLAND, OR
Past
April 5, 1995 - December 31, 2006
EQUITY SERVICES, INC.
RIA
CRD#: 265
PORTLAND, OR
Past
January 17, 1995 - December 31, 2006
EQUITY SERVICES, INC.
BD
CRD#: 265
PORTLAND, OR
Past
August 5, 1993 - January 26, 1995
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
April 17, 1993 - August 12, 1993
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
March 20, 1986 - August 5, 1993
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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
California(12/17/2018)
IAR
California(1/22/2021)
RR
Nevada(5/31/2019)
RR
North Carolina(11/7/2017)
RR
Oregon(1/2/2015)
IAR
Oregon(7/18/2016)
RR
Washington(1/2/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
