Nathan Johnson, CFP | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nathan Johnson, CFP®, who also goes by Nathan Daniel Johnson, Nate Johnson, was a registered financial professional .

Nathan is a previously registered financial professional and started their career in finance in 2010. Nathan had worked at 5 firms and has passed the Series 66, SIE, Series 7TO, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Nathan Daniel Johnson | Nate Johnson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Past

June 3, 2021 - September 8, 2021

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

ALBANY, NY

Past

August 29, 2020 - September 8, 2021

PURSHE KAPLAN STERLING INVESTMENTS

BD

CRD#: 35747

Frisco, TX

Past

August 11, 2011 - April 19, 2016

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

ADDISON, TX

Past

August 11, 2011 - April 19, 2016

USAA FINANCIAL ADVISORS, INC.

BD

CRD#: 129035

ADDISON, TX

Past

August 20, 2010 - March 23, 2011

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

FORT WORTH, TX

Past

May 27, 2010 - March 23, 2011

EQUITABLE ADVISORS, LLC

BD

CRD#: 6627

FORT WORTH, TX

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 8/16/2010

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7TO

Date: 12/15/2022

General Securities Representative Examination

General Industry/Product Exam

RR

Series 7

Date: 5/26/2010

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 4/2/2021

General Securities Principal Examination

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

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Advisor Monitoring

Firm Stability Insights

Nathan Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

PKS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2010

SIE

Date: 1/2/2023

Series 7TO

Date: 12/15/2022

Series 7

Date: 5/26/2010

Series 24

Date: 4/2/2021

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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