Grace S. Smith
Professional summary
Grace Sun Smith, who also goes by Grace Smith, is a registered financial advisor currently at PKS ADVISORY SERVICES, LLC located in Albany, New York and AE WEALTH MANAGEMENT, LLC located in Cohoes, New York.
Grace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Grace has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, SIE, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Grace Sun Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 20, 2024 - Present
PKS ADVISORY SERVICES, LLC
Office #1: 80 State Street, Albany, NY 12207July 8, 2026 - Present
AE WEALTH MANAGEMENT, LLC
July 8, 2026 - Present
AE FINANCIAL SERVICES, LLC
Office #1: 2950 Sw Mcclure Rd Ste B, Topeka, KS 66614September 8, 2022 - June 17, 2026
PURSHE KAPLAN STERLING INVESTMENTS
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/8/2026)
(2/20/2024)
(7/8/2026)
Exams
Series 52TO
Date: 12/23/2024
Municipal Securities Representative ExaminationSeries 7TO
Date: 9/8/2022
General Securities Representative ExaminationFINRA
Current Firm
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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.
