GS
Grace S. Smith
PKS ADVISORY SERVICES
ALBANY, NY 12207
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CRD#: 7446841
GS
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 PURSHE KAPLAN STERLING INVESTMENTS located in Albany, 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 2 firms and has passed the Series 66, Series 63, Series 52TO, Series 7TO, SIE, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Grace Smith
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.
RIA: PKS ADVISORY SERVICES, LLC. Investment Related 80 State Street, Albany NY 12207. IAR, PKS Supervisory. 7/31/2025. 1 hour a month, 1 hour during trading hours. PKSF. Not investment Related. 80 State Street, Albany NY 12207. Insurance Agent. 9/1/2025. 1 hour a month, 1 during trading hours. Conduct fixed / traditional insurance business.
CRS (Client Relationship Summary) - RIA
Click below to view Grace Sun Smith'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 20, 2024 - Present
PKS ADVISORY SERVICES, LLC
Office #1: 80 State Street, Albany, NY 12207RIA
CRD#: 125648
ALBANY, NY
Current
September 8, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207BD
CRD#: 35747
ALBANY, 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
California(9/29/2025)
RR
Florida(8/12/2024)
RR
Massachusetts(8/12/2024)
RR
Missouri(8/12/2024)
RR
Nevada(8/12/2024)
RR
New York(9/24/2022)
IAR
New York(2/20/2024)
RR
Ohio(8/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 12/23/2024
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 9/8/2022
General Securities Representative ExaminationGeneral 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.
