Keith Owen Flood | Financial Professional | Albany, New York | PKS ADVISORY SERVICES, LLC

Professional summary

Keith Owen Flood, who also goes by Keith Owne Flood, 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.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Keith has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith Owne Flood

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) RIA: PKS ADVISORY SERVICES, LLC; STARTED 04/2007; 80 State Street, Albany NY 12207_____

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Owen Flood's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 29, 2007 - Present

PKS ADVISORY SERVICES, LLC

Office #1: 80 State Street, Albany, NY 12207

RIA

CRD#: 125648

ALBANY, NY

Current

March 12, 1997 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 80 State Street, Albany, NY 12207

BD

CRD#: 35747

ALBANY, NY

Past

November 15, 1993 - March 20, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD

CRD#: 7471

NEW YORK, NY

Past

July 31, 1993 - December 14, 1993

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

NEW YORK, NY

Past

November 22, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

BD

CRD#: 7506

NEW YORK, NY

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.

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

Alabama
(12/19/2013)

RR

Arkansas
(6/30/2014)

RR

California
(7/22/2011)

RR

Colorado
(7/30/2013)

RR

Connecticut
(1/25/2024)

RR

Florida
(3/27/1997)

RR

Georgia
(10/15/2013)

RR

Illinois
(2/5/2024)

RR

Indiana
(7/28/2016)

RR

Kansas
(4/24/2014)

RR

Kentucky
(9/16/2015)

RR

Maine
(10/26/2000)

RR

Maryland
(3/17/2015)

RR

Massachusetts
(3/21/1997)

RR

Michigan
(3/7/2016)

RR

Minnesota
(5/1/2017)

RR

Missouri
(11/18/2015)

RR

Nevada
(2/8/2024)

RR

New Hampshire
(1/29/2024)

RR

New Jersey
(6/25/2014)

RR

New Mexico
(1/26/2024)

RR

New York
(3/13/1997)

IAR

New York
(4/8/2021)

RR

North Carolina
(8/6/2015)

RR

Ohio
(1/25/2024)

RR

Oklahoma
(7/12/2019)

RR

Oregon
(3/2/2016)

RR

Pennsylvania
(12/6/2010)

RR

South Carolina
(2/16/2000)

RR

Texas
(6/27/2005)

RR

Virginia
(3/24/2014)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/24/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 12/2/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 12/18/1989

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 11/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 7/13/2005

General Securities Principal Examination

SRO Registrations

RR

FINRA

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

Keith O. Flood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Owen Flood's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

PKS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/24/2007

Series 63

Date: 12/2/1989

SIE

Date: 10/1/2018

Series 3

Date: 12/18/1989

Series 7

Date: 11/18/1989

Series 24

Date: 7/13/2005

FINRA

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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