DM
Daniel J. Mcwilliams
PKS ADVISORY SERVICES
Auburn Hills, MI 48326
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CRD#: 2244661
DM
Professional summary
Daniel John Mcwilliams, who also goes by Dan Mcwilliams, is a registered financial advisor currently at PKS ADVISORY SERVICES, LLC located in Auburn Hills, Michigan and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Mcwilliams
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) PKS Advisory Services LLC DBA Michigan Securities. Investment related. 80 State Street, Albany NY 12207. RIA. IAR. 6/2020. 160 hrs/mnth. 160 hrs/ trading hrs. Provide investment advice. 2) PKSF. Investment related. 80 State Street, Albany NY 12207. Insurance. Insurance Agent. 06/2020. 30 hrs/mnth. 30 hrs/ trading hrs. Provide insurance advice. 3) Fixed annuity/life sales & servicing. Investment related. 21415 Civic Center Dr. #200 Southfield, MI 48076. Annuity sales & servicing. Agent. 06/1990. 5-10 hrs/mnth. 5-10 hrs/ trading hrs. Sales & servicing of fixed/traditional annuities/life. 4) Boy Scout Troop 1491. Not investment related. Address N/A. Boy Scouts. Treasurer. 11/2019. 2-3 hrs/mnth. 0 hrs/ trading hrs. Maintain troop account.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel John Mcwilliams'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 15, 2020 - Present
PKS ADVISORY SERVICES, LLC
Office #1: 1801 N. Opdyke Road, Auburn Hills, MI 48326RIA
CRD#: 125648
Auburn Hills, MI
Current
June 15, 2020 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 2601 Cambridge Court Suite 121, Auburn Hills, MI 48326BD
CRD#: 35747
ALBANY, NY
Past
February 18, 2016 - July 31, 2020
MICHIGAN ADVISORS, INC
RIA
CRD#: 124064
SOUTHFIELD, MI
Past
August 28, 2000 - July 31, 2020
BROADSTONE SECURITIES
BD
CRD#: 101600
SOUTHFIELD, MI
Past
July 31, 2000 - August 8, 2000
MEADOWBROOK SECURITIES INC.
BD
CRD#: 37305
TROY, MI
Past
March 8, 1999 - July 18, 2000
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
January 13, 1998 - March 19, 1999
APEX CAPITAL, L.L.C.
BD
CRD#: 40803
HARPER WOODS, MI
Past
May 21, 1997 - December 22, 1997
EAST - WEST CAPITAL CORPORATION
BD
CRD#: 16348
Past
June 18, 1992 - May 16, 1997
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
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
Arizona(11/6/2020)
RR
California(6/15/2020)
RR
Colorado(12/12/2024)
RR
Connecticut(7/10/2020)
RR
Florida(7/22/2020)
RR
Georgia(12/12/2024)
RR
Illinois(6/15/2020)
RR
Indiana(11/6/2020)
RR
Maine(12/12/2024)
RR
Maryland(12/12/2024)
RR
Massachusetts(11/6/2020)
RR
Michigan(6/15/2020)
IAR
Michigan(6/15/2020)
RR
Missouri(6/15/2020)
RR
New York(11/6/2020)
RR
North Carolina(12/12/2024)
RR
Ohio(10/30/2024)
RR
Oregon(11/6/2020)
RR
Tennessee(11/6/2020)
RR
Texas(11/6/2020)
RR
Vermont(6/15/2020)
RR
Virginia(11/6/2020)
RR
Wisconsin(11/6/2020)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
