AF
Andrew K. Ferraro
PKS ADVISORY SERVICES
Schwenksville, PA
Some features on this profile are disabled
CRD#: 2801628
AF
Professional summary
Andrew Karl Ferraro, who also goes by Andrew K Ferraro, Andrew Ferraro, is a registered financial advisor currently at PKS ADVISORY SERVICES, LLC located in Schwenksville, Pennsylvania and PURSHE KAPLAN STERLING INVESTMENTS located in Schwenksville, Pennsylvania.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Andrew has worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 51, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew K Ferraro | Andrew Ferraro
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) Precision Label - Printing Services (Non-investment related), 50 Marcus Boulevard, Hauppague, NY 11788; Sales; 10 hours/month; since 03/15/2016. 2) rBOAS, 151 Derr Drive Collegeville, PA, board member, since 2/6/2020, 5 hrs/mo 3) POA for parents
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Karl Ferraro'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
September 14, 2023 - Present
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
Schwenksville, PA
Current
November 7, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Schwenksville, PA
Past
January 29, 2020 - April 18, 2022
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BALA CYNWYD, PA
Past
February 13, 2019 - April 18, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALA CYNWYD, PA
Past
December 1, 2017 - January 18, 2019
MCG SECURITIES LLC
BD
CRD#: 163144
WAYNE, PA
Past
June 23, 2009 - December 17, 2015
EMERGING GROWTH EQUITIES, LTD.
BD
CRD#: 47040
KING OF PRUSSIA, PA
Past
July 1, 2008 - March 27, 2009
BOENNING & SCATTERGOOD, INC.
RIA
CRD#: 100
WEST CONSHOHOCKEN, PA
Past
September 19, 2006 - March 27, 2009
BOENNING & SCATTERGOOD, INC.
BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past
February 2, 2005 - September 15, 2006
EMERGING GROWTH EQUITIES, LTD.
BD
CRD#: 47040
KING OF PRUSSIA, PA
Past
November 15, 2004 - January 14, 2005
KEVIN DANN & PARTNERS, LLC
BD
CRD#: 113591
NEW YORK, NY
Past
October 7, 2004 - December 1, 2004
WHITAKER SECURITIES LLC
BD
CRD#: 121465
NEW YORK, NY
Past
November 11, 2003 - January 22, 2004
LABRANCHE FINANCIAL SERVICES, LLC
BD
CRD#: 7432
NEW YORK, NY
Past
October 1, 2002 - August 26, 2003
NEWOAK CAPITAL MARKETS LLC
BD
CRD#: 104063
NEW YORK, NY
Past
August 7, 2000 - August 2, 2002
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
September 23, 1998 - August 23, 2000
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
December 12, 1996 - September 11, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
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(10/1/2025)
RR
California(10/1/2025)
RR
Colorado(10/1/2025)
RR
Florida(4/22/2024)
RR
Georgia(12/17/2024)
RR
Illinois(3/10/2025)
RR
Maine(10/1/2025)
RR
Maryland(4/2/2025)
RR
Massachusetts(8/22/2024)
RR
Michigan(12/17/2024)
RR
Minnesota(10/1/2025)
RR
Missouri(3/10/2025)
RR
New Hampshire(4/2/2025)
RR
New York(11/7/2022)
RR
Ohio(12/17/2024)
RR
Pennsylvania(11/7/2022)
IAR
Pennsylvania(9/14/2023)
RR
Texas(4/2/2025)
RR
Virginia(4/2/2025)
RR
Washington(4/26/2024)
RR
Wisconsin(10/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/26/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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.
