VW
Victoria K. Wabnig
PKS ADVISORY SERVICES
North Palm Beach, FL
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CRD#: 2423830
VW
Professional summary
Victoria Katherine Wabnig is a registered financial advisor currently at PKS ADVISORY SERVICES, LLC located in North Palm Beach, Florida and PURSHE KAPLAN STERLING INVESTMENTS located in North Palm Beach, Florida.
Victoria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Victoria has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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)Name: Camp Wishe Farm Inv rel: Y Add: 6 Wishe Cir Middletown NY 10940 Nature: Other Position: Bookkeeper Start date: 06/2001 No. HR/MO: 1 No. HR/MO during sec trading: 0 Describe duties: Bookkeeper for Camp Wishe Farm - horse boarding facility. (2)Name: Werner Wabnig Tr, father; A. Nina Wishe-Wabnig Stearns Tr, mother; Inv rel: Y Add: : 6 Wishe Cir Middletown NY 10940 Nature: Trustee for family trust accounts Position: Trustee Start date: 10/2014 No. HR/MO: 1 No. HR/MO during sec trading: 0 Describe duties: Trustee for family trust accounts
CRS (Client Relationship Summary) - RIA
Click below to view Victoria Katherine Wabnig'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
February 19, 2021 - Present
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
North Palm Beach, FL
Current
January 5, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
North Palm Beach, FL
Past
March 25, 2017 - June 18, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SHELTON, CT
Past
March 25, 2017 - June 18, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SHELTON, CT
Past
April 3, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SHELTON, CT
Past
June 17, 2009 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SHELTON, CT
Past
October 29, 2007 - August 27, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
LATHAM, NY
Past
March 8, 2006 - October 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MIDDLETOWN, NY
Past
March 9, 2004 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
March 18, 1999 - May 20, 2002
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
November 16, 1995 - December 2, 1998
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
January 14, 1994 - November 10, 1994
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
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(4/12/2024)
RR
California(4/12/2024)
RR
Colorado(4/12/2024)
RR
Connecticut(4/12/2024)
RR
Florida(4/12/2023)
IAR
Florida(5/31/2023)
RR
Illinois(1/14/2025)
RR
Indiana(6/18/2024)
RR
Kansas(6/25/2024)
RR
Kentucky(1/2/2024)
RR
Maryland(4/12/2024)
RR
Massachusetts(3/10/2022)
RR
Nebraska(1/14/2025)
RR
Nevada(4/7/2021)
RR
New Hampshire(1/14/2025)
RR
New Jersey(1/14/2025)
RR
New York(1/5/2021)
RR
North Carolina(4/12/2024)
RR
North Dakota(1/14/2025)
RR
Ohio(1/14/2025)
RR
Oregon(2/7/2025)
RR
Pennsylvania(1/14/2025)
RR
Rhode Island(4/12/2024)
RR
South Carolina(4/12/2024)
RR
Texas(1/2/2024)
RR
Utah(4/12/2024)
RR
Vermont(5/27/2022)
RR
Virginia(4/12/2024)
RR
West Virginia(1/14/2025)
RR
Wisconsin(1/3/2024)
Exams
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
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.
