DC
David W. Connors
PKS ADVISORY SERVICES
ALBANY, NY 12207
Some features on this profile are disabled
CRD#: 4023878
DC
Professional summary
David Walsh Connors JR., who also goes by David Walsh Connors Jr, 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.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Walsh Connors Jr
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-Investment related-80 State Street, Albany NY 12207-RIA-Advisor-6/2018-160 hrs/mth-100% during tradings hrs-Financial Advisor. (2) Fixed Insurance- Not investment related-80 State Street, Albany NY 12207-Insurance-Insurance Agent-6/2018-10 hrs/mth-100% during trading hrs-Sell fixed insurance. (3) PRIDE CENTER OF THE CAPITAL REGION; ADDRESS: 322 HUDSON AVE, ALBANY, NY 12210; BUSINESS DESCRIPTION: NON-PROFIT; NOT INVESTMENT RELATED; START DATE: 02/01/2017; CAPACITY: BOARD OF DIRECTORS, FINANCE COMMITTEE; DUTIES: ADVISORY ROLE; HOURS DEVOTED PER WEEK: 30 MIN; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE
CRS (Client Relationship Summary) - RIA
Click below to view David Walsh Connors JR.'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 4, 2018 - Present
PKS ADVISORY SERVICES, LLC
Office #1: 80 State Street, Albany, NY 12207RIA
CRD#: 125648
ALBANY, NY
Current
June 1, 2018 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207BD
CRD#: 35747
ALBANY, NY
Past
April 11, 2012 - June 12, 2018
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
ALBANY, NY
Past
February 21, 2012 - June 12, 2018
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ALBANY, NY
Past
January 19, 2012 - February 14, 2012
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
JOPLIN, MO
Past
November 11, 2008 - October 20, 2011
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
May 14, 2007 - November 12, 2008
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
April 20, 2006 - March 22, 2007
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
RIA
CRD#: 138756
BOSTON, MA
Past
May 25, 2004 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
RIA
CRD#: 107719
BOSTON, MA
Past
April 14, 2004 - March 22, 2007
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
Past
June 13, 2003 - May 12, 2004
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
BOSTON, MA
Past
April 22, 2003 - May 14, 2004
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
BOSTON, MA
Past
May 9, 2001 - April 14, 2004
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
December 7, 1999 - April 30, 2001
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
District of Columbia(8/12/2025)
RR
Florida(2/4/2021)
RR
Massachusetts(6/1/2018)
RR
New Hampshire(6/1/2018)
RR
New Jersey(6/1/2018)
RR
New York(6/1/2018)
IAR
New York(4/8/2021)
RR
North Carolina(1/7/2021)
RR
Rhode Island(6/1/2018)
RR
Tennessee(10/3/2024)
RR
Texas(2/4/2021)
RR
Vermont(1/2/2019)
RR
Washington(10/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
